Enforcement Press releases - 2010

Glasgow stock broker firm fined £101,500

18 February

Semperian Limited Partnership pleads guilty to change in control offence

17 February

FSA takes robust action against Wills & Co to stop it putting customers at risk

17 February

Three Turkish oil company executives fined £1.16m for market abuse

16 February

FSA bans London based mortgage broker for incompetence and failing to prevent mortgage fraud

15 February

Director banned by FSA for Client Money failings

5 February

FSA bans West London mortgage broker for submitting fraudulent applications

4 February

FSA bans hedge fund manager and fines him £140,000 for 'mis-marking'

3 February

FSA and Police launch 'Operation WARN' to prevent thousands of people from becoming victims of share fraud

1 February

Three arrested in FSA insider dealing investigation

29 January

Derbyshire firm and its two partners fined a total of £49,000

27 January

FSA fines Standard Life £2.45m for serious systems and controls failures

20 January

FSA fines and bans Bolton mortgage broker for failing to act with competence and capability

20 January

Insurance fraudster banned by FSA for deceiving customers out of almost £400k

19 January

FSA removes director's approval to hold senior positions for two years

18 January

FSA bans insurance broker for failing in his duties as a director

14 January

FSA takes action against London mortgage broker for lack of openness and co-operation with the regulator

12 January

Research analyst and spread better friend committed market abuse, says Tribunal

11 January

FSA fines Northern Ireland mortgage firm for failing to prevent fraud and bans one of its partners

7 January

FSA starts criminal proceedings against former iSOFT directors

6 January