Showing 1 to 10 of 300 search results for Following enforcement.

1. FCA takes action against three individuals from SVS Securities for mistreatment of pension funds

   Press Releases Published: 24/06/2024 Last modified: 24/06/2024
   Bonds into which they were invested by SVS have since defaulted, with customers unlikely to receive more than a fraction of their investment back.

2. FCA fines CGML £27,766,200 for failures in its trading systems and controls

   Press Releases Published: 22/05/2024 Last modified: 22/05/2024
   The FCA has fined Citigroup Global Markets Limited (CGML) £27,766,200.

3. Guy Flintham sentenced to 6 years for fraud over unauthorised investment scheme

   Press Releases Published: 17/05/2024 Last modified: 17/05/2024
   Following a hearing at Southwark Crown Court, Guy Flintham, 46, was today sentenced to 6 years for fraud.

4. Taheer Sardar convicted for providing a forged document to FCA investigators in a £1.3m boiler room fraud investigation 

   Press Releases Published: 10/05/2024 Last modified: 10/05/2024
   Taheer Sardar has been sentenced at Southwark Crown Court for perverting the course of justice.

5. FCA bans and fines James Lewis £120,300 for putting investors at risk

   Press Releases Published: 07/05/2024 Last modified: 07/05/2024
   James Lewis, the former CEO of Shard Capital Partners, has been fined £120,300 and banned by the FCA.

6. FCA publishes response to British Steel Pension Scheme complaints

   Pensions Complaints News stories Published: 22/04/2024 Last modified: 22/04/2024
   The FCA has been investigating a number of complaints about our actions in relation to the British Steel Pension Scheme (BSPS).

7. FCA sets out findings against Link Fund Solutions

   Press Releases Published: 11/04/2024 Last modified: 11/04/2024
   Link Fund Solutions failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund, according to findings published by the FCA.

8. Stuart Bayes found guilty of insider dealing 

   Press Releases Published: 28/03/2024 Last modified: 28/03/2024
   Mr Stuart Bayes was today found guilty of 2 offences of insider dealing, following an 8-week trial at Southwark Crown Court in a prosecution brought by the Financial Conduct Authority (FCA).

9. Larry Barreto and Tassib Hussain sentenced for mortgage fraud

   Press Releases Published: 28/03/2024 Last modified: 28/03/2024
   On 27 March 2024, Larry Barreto and Tassib Hussain were sentenced for fraud offences following a prosecution brought by the FCA, which saw the pair convicted in November 2023.

10. Convicted money launderer meets confiscation order after imprisonment for failure to pay

    Statements Published: 15/03/2024 Last modified: 15/03/2024
    Money launderer and ex-solicitor, Dale Robert Walker has met his confiscation order, following 62 days' imprisonment for previously failing to pay.