Investment firm directors banned after £9m US property scam
With 244 investors owed approximately £11m
Ban
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UK financial adviser banned for life
After he was convicted of stealing £2.1m in client funds
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UK regulator bans marketing of speculative mini-bonds
As London Capital & Finance victims see move as the FCA ‘admitting we were mis-sold’
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Singapore regulator bans four advisers over misconduct
Three insurance agents and a bank employee misappropriated client funds
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Pension advert misled clients on financial advice
Website claimed to compare best deals and to be able to ‘increase pension by 40%’
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‘House of cards’ pension scheme bosses banned for 34 years
They ‘liberated’ around £12m of funds promising 6% returns
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Dubai regulator referred to Financial Markets Tribunal
Ex-chairman of liquidated wealth management advisory firm disputes its findings against him
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Ex Barclays Wealth COO dodges ban over misconduct
But UK regulator issued a public notice regarding his actions
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Hong Kong regulator bans former UBS director for life
He was previously convicted of accepting illegal commission payments
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UK to ban contingent charging for pension transfers
Mixed response from industry, with some criticising the move as ‘wrong’
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Ex-UBS employee banned by Singapore regulator
He forged documents and falsified emails on background checks to make clients look tax compliant
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Aussie regulator bans director of 14 failed financial firms
The companies were placed into liquidation between 21 August 2014 and 8 September 2015