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Showing 1 to 11 of 313 search results for gave an individual a warning notice.

1. FCA Warning List of unauthorised firms

   Search our Warning List to find details of unauthorised firms and individuals that we’re aware of, that aren’t allowed to operate in the UK.

2. Warning notice statement 16/2 – Individual [pdf]

   Warning notices Published: 21/01/2016 Last modified: 21/01/2016
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 19 November 2015 proposing to take action in respect of the conduct summarised in this statement.

3. Warning notice statement 16/1 – Individual [pdf]

   Warning notices Published: 11/01/2016 Last modified: 11/01/2016
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 7 December 2015 proposing to take action in respect of the conduct summarised in this statement.

4. Warning notice statement 15/1 – Individual [pdf]

   Warning notices Published: 26/06/2015 Last modified: 29/06/2015
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 May 2015 proposing to take action in respect of the conduct summarised in this statement.

5. Warning notice statement 15/2 – Individual [pdf]

   Warning notices Published: 26/06/2015 Last modified: 29/06/2015
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 May 2015 proposing to take action in respect of the conduct summarised in this statement.

6. Warning notice statement 14/8 – Individual [pdf]

   Warning notices Published: 15/04/2014 Last modified: 15/04/2014
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 6 March 2014 proposing to take action in respect of the conduct summarised in this statement.

7. Warning notice statement 14/9 – Individual [pdf]

   Warning notices Published: 15/04/2014 Last modified: 15/04/2014
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 6 March 2014 proposing to take action in respect of the conduct summarised in this statement.

8. Warning notice statement 14/2 – Individual [pdf]

   Warning notices Published: 03/02/2014 Last modified: 03/02/2014
   The Financial Conduct Authority (the FCA) gave an individual a warning notice on 28 November 2013 proposing to take action in respect of the conduct summarised in this statement.

9. Warning notice statement 14/5 – Individual [pdf]

   Warning notices Published: 03/03/2014 Last modified: 02/06/2014
   The Financial Conduct Authority (the FCA) gave an individual a warning notice on 16 January 2014 proposing to take action in respect of the conduct summarised in this statement.

10. Warning notice statement 14/7 – Individual [pdf]

    Warning notices Published: 27/03/2014 Last modified: 27/03/2014
    The Financial Conduct Authority (the FCA) gave an individual a warning notice on 26 February 2014 proposing to take action in respect of the conduct summarised in this statement.

11. Warning notice statement 14/6 – Individual [pdf]

    Warning notices Published: 27/03/2014 Last modified: 27/03/2014
    The Financial Conduct Authority (the FCA) gave an individual a warning notice on 26 February 2014 proposing to take action in respect of the conduct summarised in this statement.