A firm has been fined £97,600 by the Financial Services Authority (FSA) for mis-selling unregulated collective investment schemes (UCIS), some of which have since wound up resulting in potential investor losses.
A judge has branded Towry CEO Andrew Fisher as "unnecessarily argumentative" and criticised his abrasive and confrontational style.
The FSA has varied the permissions of national stockbroker Pritchard for failing to adequately protect client money.
The Financial Services Compensation Scheme (FSCS) is set to deal with thousands of compensation claims related to the collapse of broker MF Global, with more expected.
It's our round-up of the stories your clients may have read in the national newspapers over the weekend...
The Financial Ombudsman Service (FOS) has ruled against a bank for advising a client to invest £3.2m in a bond issued by failed US insurer AIG.
Twenty three awards and 24 winners, but only one Paul Daniels and Debbie McGee...
Pete Matthew once again walked away with the Baillie Gifford Award for Financial Education at the Professional Adviser Awards 2012 last night.
An FSA promise to re-visit the absence of a time limit on complaints in financial services "seems to have slipped off the radar", according to MP Mark Garnier, who has pledged to take the regulator to task on the issue.