On June 08, 2010 the Financial Services Authority of United Kingdom charged former stockbroker Mr. David Roger Griffiths Mason with five offences including making misleading statements to investors, conspiracy to defraud and money laundering.
The Companies House of United Kingdom included the name of Mr. Bruno La Montagna in the list of Register of Disqualified Directors from March 16, 2010 to March 15, 2014.
On June 07, 2010 the Financial Services Authority of United Kingdom gave a final notice to Mr. Stephen Straw, prohibiting him from performing any function in relation to any regulated activity carried on by any authorized person, exempt person or exempt professional firm. It is alleged that, while Mr. Starw was an approved person of Whitehall, he dishonestly submitted 19 life insurance applications to the Scottish Provident, obtaining commission on these policies. As a result, Scottish suffered a loss of £70,000 in commissions. Mr. Straw was sentenced on June01, 2009 to 48 weeks imprisonment, suspended for 24 months on a condition of 250 hours of unpaid work, for these offences.
The Companies House of United Kingdom included the name of Mr. Santosh Kumar in the list of Register of Disqualified Directors from December 22, 1997 to December 21, 2015.
On June 04, 2010 the Financial Services Authority of United Kingdom gave a final notice to Mr. Roger Edward Chapman trading as Chapman Webster & Company, about a decision to cancel the permission granted to carry on regulated activities. The FSA cancelled the Part IV permission of Mr. Chapman as he did not refer the matter to the Upper Tribunal within 28 days of the date the Decision Notice was given to him.
On June 04, 2010 the Financial Services Authority of United Kingdom banned sole trader Mr. Joseph Anthony Masi, trading as Select Mortgage Services, for breaching a settlement agreement with the FSA and providing false and misleading information to the FSA.
The Companies House of United Kingdom included the name of Mr. Lyndsey Joy Isobel Ives in the list of Register of Disqualified Directors from February 08, 2010 to February 07, 2019.
The Companies House of United Kingdom included the name of Mr. Sohail Ismail in the list of Register of Disqualified Directors from November 19, 2009 to May 18, 2017.
Mr. Mulikat Oluwatoyin Isiaka’ name is included in the list of Register of Disqualified Directors by the Companies House of United Kingdom from May 030, 2010 to May 02, 2015.
The Companies House of United Kingdom included the name of Helen Agnes Hyland in the list of Register of Disqualified Directors from November 10, 2009 to November 09, 2015.
On June 02, 2010 the Financial Services Authority of United Kingdom fined Mr. Andrew Charles Kerr, a former commodity broker from Sucden Limited, £100,000 for market abuse. The FSA has also banned Mr. Kerr from working in the financial services industry on the grounds that he is not a fit and proper person. It is alleged that, on August 15, 2007, Kerr deliberately manipulated the market in London International Financial Futures and Options Exchange (LIFFE) traded coffee futures and the related coffee futures options. Mr. Kerr actively encouraged the market manipulation and benefited financially through his standard commission on the trades. Also, while being investigated, Kerr provided false and misleading information.
On June 01, 2010 the Financial Services Authority of United Kingdom gave a final notice to Mr. Khalid Khan trading as K K Associates, about a decision to cancel the permission granted to carry on regulated activities. The FSA cancelled the Part IV permission of Mr. Khan as he did not refer the matter to the Upper Tribunal within 28 days of the date the Decision Notice was given to him.
The Companies House of United Kingdom included the name of Simon Haigh in the list of Register of Disqualified Directors from March 03, 2010 to March 29, 2012.
The Financial Supervision Commission – Isle of Man disqualified Mr. John Millen Gallacher for a period of 7 Years from December 09, 2009 to December 09, 2016.
On May 28, 2010 the Financial Services Authority of United Kingdom prohibited Mr. Andrew Lawrence Greystoke from performing any function in relation to any regulated activity carried on by an authorized or exempt person or exempt professional firm and imposed a financial penalty of £200,000 on Mr. Greystoke for a breach of Statement.
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