The former chief executive of adviser network Financial, Charlie Palmer, is appealing a decision by the Financial Conduct Authority (FCA) to ban and fine him £86,000 for failing to ensure his advisers gave suitable advice.
Palmer referred the FCA's decision to the Upper Tribunal where it could be overturned. His former colleague risk management director Paivi Grigg was fined £15,000 for failing to ensure Financial's risk...
Will assess regulation
Client was warned of risk
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