• About Us
  • FAQ
  • Subscribe
  • Feedback
  • Advertise
  • Network
  • Privacy Policy

Regulatory Compliance Blog

News and views on companies and individuals failing regulatory compliance rules around the world
  • Home
  • Featured
  • USA
  • South America
  • Europe
  • Asia
  • Africa
  • Financial Regulators
SUBSCRIBE TO RSS FEED

United Kingdom: FSA prohibits Paul Simon Willment

Posted by nileshkokane on 19 August, 2010
No comments yet
This item was filled under [ Europe, Financial Regulators ]
[Translate]

The Financial Services Authority of United Kingdom has issued a final notice to Paul Simon Willment on August 3, 2010 about the imposition of a financial penalty on him and an order prohibiting him from performing any function in relation to any regulated activity carried on by any authorised person, exempt person or exempt professional firm.

The complete article can be found at the Financial Services Authority.

Share|
Tagged with: [ compliance risk, failed, final notice, Financial Service Authority, FSA, Paul Simon Willment, penalty, prohibiting, regulatory risk, United Kingdom ]
You can follow any responses to this entry through the RSS 2.0 feed. Both comments and pings are currently closed.
« India: SEBI passes Adjudication order against Ranjan Mandal
India: SEBI passes Adjudication order against Navin Trikamdas Thakkar »

  • Portal Search

  • Subscribe

     

    EMail Subscription

    RSS Subscription

    Join us on Facebook

    Follow us on Twitter

    Our Linkedin Profile

    Google Buzz

    Our Youtube Channel
    Email RSS Facebook Twitter Linkedin Buzz Youtube

    MORE SUBSCRIPTION OPTIONS

     

  • Like RCB on Facebook

    Regulatory Compliance Blog on Facebook

  • Most Popular

    • USA: Disciplinary action filed against New Jersey individualUSA: Disciplinary action filed against New Jersey individual
    • USA: SEC announces fraud charges against Candice CampbellUSA: SEC announces fraud charges against Candice Campbell
    • USA: FINRA files disciplinary action against individualUSA: FINRA files disciplinary action against individual
    • USA: FINRA takes actions against Seaboard Securities, Inc. and its principalUSA: FINRA takes actions against Seaboard Securities, Inc. and its principal
    • USA: Final judgment entered against former registered representativeUSA: Final judgment entered against former registered representative
    • USA: SEC Enforcement Actions TodayUSA: SEC Enforcement Actions Today
    • USA: Enforcement action taken against companyUSA: Enforcement action taken against company
    • Australia: ASIC issues the list of disqualified individualsAustralia: ASIC issues the list of disqualified individuals
    • USA: SEC charges CEO, ex-CFO and company with accounting fraudUSA: SEC charges CEO, ex-CFO and company with accounting fraud
    • USA: FRB files Written Agreement against a companyUSA: FRB files Written Agreement against a company
    • USA: NFA takes enforcement action against individual and its companyUSA: NFA takes enforcement action against individual and its company
    • USA: Ex-CFO, two others charged with insider tradingUSA: Ex-CFO, two others charged with insider trading
    • USA: SEC files administrative proceedings against individualUSA: SEC files administrative proceedings against individual
    • USA: Individual, company ordered to pay $360,000 for commodity pool solicitation fraudUSA: Individual, company ordered to pay $360,000 for commodity pool solicitation fraud
    • USA: SEC files administrative proceedings against Georgia residentUSA: SEC files administrative proceedings against Georgia resident
    • USA: SEC Enforcement Actions TodayUSA: SEC Enforcement Actions Today
    • United Kingdom: FSA bans Andrew GreystokeUnited Kingdom: FSA bans Andrew Greystoke
    • United Kingdom: Companies House issues list of disqualified directorsUnited Kingdom: Companies House issues list of disqualified directors
    • USA: SEC Enforcement Actions TodayUSA: SEC Enforcement Actions Today
    • USA: FINRA files complaint against Tennessee residentUSA: FINRA files complaint against Tennessee resident

  • Top Tags

    • compliance risk
    • regulatory risk
    • USA
    • Financial Industry Regulatory Authority
    • FINRA
    • disciplinary actions
    • suspended
    • barred
    • U.S. Securities and Exchange Commission
    • violations
    • failure
    • Sanctions
    • fined
    • complaint
    • regulatory compliance

  • Archives

    • January 2012
    • December 2011
    • November 2011
    • October 2011
    • September 2011
    • August 2011
    • July 2011
    • June 2011
    • May 2011
    • April 2011
    • March 2011
    • February 2011
    • January 2011
    • December 2010
    • November 2010
    • October 2010
    • September 2010
    • August 2010
    • July 2010
    • June 2010
    • May 2010
    • April 2010

  • Blogroll

    • Background Checks (BackgroundChecksWiki) a Community-Built Knowledgebase for International Background Checks
    • Fake Certificates Blog News and views on fake certificates, degrees and diploma mills
    • FreedomNow A community built knowledgebase to counter Human Trafficking
    • Human Trafficking Today News and views on human trafficking
    • Illegal Immigrants Blog News and views on illegal immigration, fake documents and human trafficking
    • India Criminal Records A site dedicated to providing the public with information on crimes in India
    • Medical license Verification News and views on bogus, unlicensed and fake doctors and other medical staff
    • Pakistan Criminal Records A site dedicated to providing the public with information on crimes in Pakistan
    • Terrorist Terrorism Blog News and views on the use of fake documents by terrorists

  • RSS Medical License Verification

    • USA: Physician faces new sex-related charges
      firstcoastnews.com on January 20, 2012 reported that a UF Shands physician is facing a new charge after his arrest on lewd and lascivious molestation on a child under 12 charges last month. According to a JSO arrest report, officers have now charged James Milton Phillips, an assistant professor of adult internal medicine in the Department of Medicine, with l […]
    • South Africa: R6.3 million medical negligence claim filed against hospital, doctor
      iol.co.za on January 24, 2012 reported that three years after a Durban mechanical engineer suffered a heart attack and died, his wife has brought a R6.3 million medical negligence claim against an Umhlanga hospital and a locum doctor, who allegedly failed to administer proper medical treatment after he complained of chest, throat and left shoulder pains. Loc […]
    • United Kingdom: Health worker denies bogus doctor charges
      bbc.co.uk on January 24, 2012 reported that Abdul Pirzada pleaded not guilty to four counts of fraud and one count of obtaining a pecuniary advantage by deception, during a hearing at Birmingham Crown Court. He was arrested last October in a joint investigation by the West Midlands economic crime unit and NHS fraud investigators. […]
    • USA: Doctor's license suspended in drug case
      nbcnewyork.com on January 24, 2012 reported that a doctor facing criminal charges of peddling painkiller prescriptions to addicts and drug dealers has had his medical license suspended in New York. The state Board for Professional Medical Conduct says in documents dated Monday and obtained by The Associated Press that Dr. Stan Li overlooked such warning sign […]
    • USA: Woman awarded $1.5 million in lawsuit against doctor
      claimsjournal.com on January 23, 2012 reported that a southern Indiana jury has awarded $1.5 million to a woman who alleged that a doctor’s decision not to perform surgery left her with a debilitating disorder. Michelle Wells Fischer’ lawsuit alleged Dr. William H. Garner III’s decision led to the removal of most of her small intestine in 2003. The News and […]

  • RSS Fake Certificates Blog

    • Five female MPAs booked over fake degrees
      "Daily Times", Pakistan on 21st January 2012 : Police on Friday registered cases of fraud and deception against five female members of the Punjab Assembly for submitting fake copies of their bachelor’s degrees in the Election Commission. The MPAs had submitted the copies to get reserve seats in the assembly. The five cases with the same charges wer […]
    • Four brothers secure jobs on the basis of bogus documents
      "States Times", India on 21st January 2012 : Three employees οf Public Works Department (PWD) appointed οn fаkе documents hаνе bееn arrested іn Rajouri οn Friday whіƖе thе fourth managed hіѕ escape. IntеrеѕtіngƖу, thеу аrе brothers. Those arrested hаνе bееn identified аѕ Abdul Khaliq, Mohammed Mansha, Abdul Ghani аnd Mohammed Rashid. Reports ѕаіd t […]
    • Councillor booked for furnishing forged documents to election authorities
      "Times of India", India on 16th January 2012 : Ballarpur Police have registered offence against newly elected councillor Nasir Khan for furnishing forged documents to election authorities while submitting his nomination. Khan, a second time councillor, is absconding after the charges of cheating and forgery were registered against him. Sources info […]
    • Programme officer secured job on the basis of bogus certificate
      "Times of India", India on 15th January 2012 : An MGNREGA programme officer, currently posted at Bahadurganj in Kishanganj district, has landed in the soup following disclosure about his qualification under the Right To Information (RTI) Act. MGNREGA programme officer Ranjit Kumar Pramanik secured the job allegedly on the basis of a 'fake […]
    • Six forged certificates to secure job
      "Times of India", India on 12th January 2012: Bosch India on Tuesday lodged a complaint with the Satpur police against six trainees working in the company for producing forged certificates to get a job. As per the police complaint, Samir Bramhankar, resident of Dindori Road, Panchavati; Shaikh Afroz Sattar, resident of Datta Chowk, Nashik; Rahul Pa […]

  • RSS India Criminal Records

    • Pune: Killer driver remanded in police custody
      On January 27, 2012 Times of India reported that Santosh Mane, the state transport driver who went on a rampage mowing down eight persons and injuring 27 others, was on Thursday remanded in police custody till February 3 by a local court with lawyers refusing to appear for him. There was no sign of remorse on 30-year-old Mane, who was produced in the court o […]
    • Indore: Man held in 3-yr-old abduction, murder case
      On January 26, 2012 DNA reported that crime branch team of city police on Tuesday nabbed an absconding accused in 3-year-old abduction and murder case from Saithi Nagar. Nilu alias Nilesh, a resident of Saithi Nagar, with his accomplice Jaypal, a resident of Beena, allegedly abducted Archana, a resident of Pardeshipura, on July 28, 2009. They demanded a rans […]
    • Orissa: Maoist cadre surrenders before police
      On January 26, 2012 Hindustan Times reported that a woman Maoist cadre allegedly involved in several criminal activities surrendered before police in Odisha's Gajapati district on Wednesday. “The Maoist cadre Tabita Mallick of Gangamunda village in Adaba police station area, was active in Maoist activities since 2009,“ superintendent of police Sarthak S […]
    • Gurgaon: Gang of high-profile carjackers busted
      On January 26, 2012 The Pioneer reported that gurgaon police on Thursday claimed to have busted a gang of high-profile carjackers from Bajgeda road in Palam Vihar area of Gurgaon and arrested five notorious criminals. They were allegedly involved in several cases of murder, robbery and carjacking of vehicles in Delhi, Rohtak, Jhajjar, Sonepat and other place […]
    • Mumbai: Couple robbed at knifepoint, three held
      On January 26, 2012 Hindustan Times reported that three men were arrested for allegedly robbing a couple at the Sanjay Gandhi National Park in Borivli (East) on Wednesday. The police said the trio, Ronny Pradhan alias Raju, 32, Atin Marodia, 25, and Azruddin Shaikh, 22, threatened a couple at knifepoint and made way with Rs 300 in cash, gold earrings and two […]

  • RSS Pakistan Criminal Records

    • Rawalpindi: Gilani’s ex-aide Khurram Rasool gets jail term
      An accountability court in Rawalpindi sentenced Mian Khurram Rasool, former media coordinator to the prime minister, to four-year imprisonment on Thursday and declared him an absconder in a Rs71 million bank fraud case. […]
    • Karachi: CID police claim arresting three target killers
      The Crime Investigation Department (CID) of Sindh police on Thursday claimed to have arrested three alleged target killers and recovered weapons from their possession. […]
    • Pakpattan: 5 booked for illegal housing scheme
      On a court order, police Thursday registered a case against five people for constructing an illegal housing scheme. On a petition filed by Sajjad Ahmed, the court ordered the police to book housing scheme owner Naseem and his four accomplices including Rafique and Shahid for building Al-Jannat Housing Scheme without the government approval and plan. […]
    • Islamabad: Federal agency seizes record of three Lahore pharma firms
      The federal agencies investigating the death of dozens of cardiac patients, caused by fake drugs issued by the Punjab Institute of Cardiology (PIC), have taken into custody the medicine stocks and hospital record, and put names of owner/directors of three drug manufacturing companies on the Exit Control List to stop them from fleeing abroad, official sources […]
    • Karachi: ‘Bandits’ kill man
      A man was shot dead during a robbery in his house within the remit of the Surjani Town police station on Thursday, police said. They said that at least three suspected bandits entered the house of Mohsin Feroz, 35, in Sector 4-D of Surjani Town in the early hours of Thursday and held the inmates hostage at gunpoint. […]

  • Recent Posts

    • 27 January 2012

      USA: Disciplinary action filed against Connecticut individual

    • 27 January 2012

      USA: FINRA bars Ohio individual

    • 27 January 2012

      USA: Florida individual barred by FINRA

    • 27 January 2012

      USA: Disciplinary action filed against New Jersey individual

    • 27 January 2012

      USA: FINRA bars Missouri individual

  • Browse by Tags

    • Administrative proceedings allegations alleged alleges barred complaint compliance risk disciplinary actions disgorgement failed failure Financial Industry Regulatory Authority fined FINRA fraud investigation penalty regulatory compliance regulatory risk sanction Sanctions sec sec action SEC actions suspended suspension U.S. Securities and Exchange Commission United Kingdom USA violations
Copyright © 20010-15 | Privacy Policy | Regulatory Compliance Blog. | Security Safe Haven - All rights reserved. Posts Feed
English English العربية العربية Deutsch Deutsch español español فارسی فارسی français français עברית עברית हिन्दी हिन्दी bahasa Indonesia bahasa Indonesia italiano italiano 日本語 日本語 한국어 한국어 bahasa Melayu bahasa Melayu русский русский ภาษาไทย ภาษาไทย Filipino Filipino Türkçe Türkçe 中文 (简体) 中文 (简体) 中文 (繁體) 中文 (繁體) powered byGoogle