On June 16, 2010 the Financial Services Authority of United Kingdom imposed financial penalty of £131,000 on Mr. Anjam Ahmad for professional misconduct.
On June 16, 2010 the Financial Services Authority of United Kingdom decided to cancel the Part IV permission of Mr. Patrick James O’Hagan. It is alleged that Mr. James failed to satisfy the threshold conditions set out in Schedule 6 to the Act.
On April 22, 2010 the Financial Services Authority of United Kingdom decided to cancel the Part IV permission of Mr. David Neil Dodds. It is alleged that Mr. Dodds failed to satisfy the threshold conditions set out in Schedule 6 to the Act and also failed to pay fees and levies of £1,682.52 owed to the FSA.
On April 22, 2010 the Financial Services Authority of United Kingdom gave a final notice to Mr. Delwyn Arthur Way about the imposition of a financial penalty of £ 77,957 and passed an ordered prohibiting Mr. Way from performing any function in relation to any regulated activity carried on by any authorized person, exempt person or professional firm.
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.
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.
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.
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 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.
On May 20th, 2010 the Financial Services Authority of United Kingdom has fined Simon Eagle £2.8m and banned him from working in financial services for deliberate market abuse.
It was reported by the Financial Services Authority (FSA) of United Kingdom on May 13, 2010 that Andrew Greystoke was permanently banned from working in any capacity in financial services and fining him and Atlantic Law LLP (Atlantic Law), an FSA-regulated law firm of which he is senior partner, a total of £400,000.
The Financial Services Authority of United Kingdom has censured Integrity Financial Solutions Limited on 12th May 2010 for advice failings relating to the sale and promotion of geared traded endowment policies (GTEPs).
The Financial Services Authority of United Kingdom has issued a final notice to Kayode Ifesanya on 10th May 2010 about their decision to cancel the permission granted to carry on regulated activities.
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