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Showing 1 - 3 of 3 results for FSA release

Drunk futures broker banned

FSA RELEASE  |  THURSDAY, 1 JUL 2010
... manipulating the market by trading huge volumes of oil contracts after a weekend bender. The Financial Services Authority (FSA) fined and banned Steven Noel Perkins on the grounds that he is not a fit and proper person. Perkins previously traded orders ...

Investors get $250m compensation for crook advice

FSA RELEASE  |  TUESDAY, 13 APR 2010
... Financial Services Authority to publish new findings that will see advice firms pay $250 million in compensation to investors. The FSA found that a number of firms were still giving "high levels of unsuitable advice" following a thematic review two years ...

FSA fines firm for bad advice

FSA RELEASE  |  MONDAY, 14 SEP 2009
UK-based Financial Services Authority (FSA) fined a financial advice firm $27,000 for failing to match client appetite for risk with appropriate investment products. The regulator found the Henry Neil practice advised clients to sell segments of existing ...
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