Adviser banned and fined £109k for fabricating two SPSs

A financial adviser has been banned and fined £109,400 for “lying repeatedly to the regulator”.

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FCA bans two for selling £24m of ‘unsuitable investments’ to clients

The Financial Conduct Authority has banned Mark Kelly and Patrick Gray from working in the financial services industry on the basis that they lack integrity after £24m of client money was invested in ‘unsuitable investments’, it said today.

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Adviser banned and fined £290k by FCA

An adviser has been fined £290,344 and banned from performing any function in relation to regulated activities. Read more...

Firm banned from employing advisers after serious misconduct

Financial Group has been banned from employing new advisers for four and a half months due to serious misconduct. Read more...
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