FSA Annual Report 2006/07 - Better Regulation Ltd

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136 Section six – Appendices Appendix 5 Section six – Appendices Appendix 5 137 Name on Final Notice Issue Date case Date Action Outcome Financial opened Final Notice against firm/ penalty issued individual? £ Mr Jon Uglow Batchelor Fitness & Propriety Issues/Threshold Conditions 10/07/2006 02/11/2006 INDIVIDUAL Prohibition Mrs Janice Susan Whiteley Unauthorised Activity 20/01/2005 02/11/2006 INDIVIDUAL Public Censure Paramjit Singh Bali (trading as Bali Financial Services) Systems & Controls 08/12/2005 27/10/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Loans.co.uk Limited Systems & Controls 14/11/2005 25/10/2006 FIRM Financial Penalty 455,000 Wendashire Finance (2000) Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 27/04/2006 20/10/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Best Advice Mortgage Network Limited Selling 10/05/2006 19/10/2006 FIRM Financial Penalty 7,000 G D Tancred Financial Services Limited Selling 15/03/2006 17/10/2006 FIRM Public Censure James Boyd Parker Listing 10/04/2002 06/10/2006 INDIVIDUAL Financial Penalty 250,000 First Legal Services Limited Fitness & Propriety Issues/Threshold Conditions 16/06/2006 05/10/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Gerald Ward trading as Westend Motor Sales Fitness & Propriety Issues/Threshold Conditions 16/06/2006 05/10/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Morelinx Limited Fitness & Propriety Issues/Threshold Conditions 12/06/2006 05/10/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Robert Hamilton Jewell trading as R H Jewell Agricultural Insurance Consultant Fitness & Propriety Issues/Threshold Conditions 12/06/2006 05/10/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions A Jarvis Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 05/06/2006 28/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Direct Law Line Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 05/06/2006 28/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions G Sanger Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 05/06/2006 28/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Gordon Berry trading as BFG Financial Solutions Fitness & Propriety Issues/Threshold Conditions – RMAR 05/06/2006 28/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Patrick J White trading as Financial Concepts Fitness & Propriety Issues/Threshold Conditions – RMAR 05/06/2006 28/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Penta Financial Services Fitness & Propriety Issues/Threshold Conditions – RMAR 05/06/2006 28/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Bikesmart UK Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 27/04/2006 21/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions T A Porter & Sons Fitness & Propriety Issues/Threshold Conditions – RMAR 27/04/2006 22/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Langtons (IFA) Limited Selling 11/11/2005 21/09/2006 FIRM Financial Penalty 63,000 Nationwide Finance Limited Fitness & Propriety Issues/Threshold Conditions 22/03/2006 20/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Paul Harrison Fitness & Propriety Issues/Threshold Conditions 17/02/2006 18/09/2006 INDIVIDUAL Financial Penalty 17,500 Amerindo Advisors (UK) Limited Fitness & Propriety Issues/Threshold Conditions 02/06/2005 08/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Blackburn and Price Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 27/04/2006 08/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Christine Ola trading as Assured Mortgages Fitness & Propriety Issues/Threshold Conditions 15/03/2006 08/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Cleveland Cars Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 27/04/2006 08/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions David Cooke trading as Car-Zone.com Fitness & Propriety Issues/Threshold Conditions – RMAR 27/04/2006 08/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions ME Estate and Property Agent Fitness & Propriety Issues/Threshold Conditions – RMAR 27/04/2006 08/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Professional Independent Financial Solutions Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 27/04/2006 08/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions QB Motorcycles Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 27/04/2006 08/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions The Carphone Warehouse Ltd Systems & Controls 21/12/2005 05/09/2006 FIRM Financial Penalty 245,000 Braemar Financial Planning Limited Selling 15/02/2006 04/09/2006 FIRM Financial Penalty 182,000 Regency Mortgage Corporation Limited Systems & Controls 14/11/2005 04/09/2006 FIRM Financial Penalty 56,000 Bellcom Limited Fitness & Propriety Issues/Threshold Conditions 29/03/2006 01/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Shahzad Bamdad Shirazi trading as Specialists Asset Management Fitness & Propriety Issues/Threshold Conditions 11/04/2006 01/09/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions
138 Section six – Appendices Appendix 5 Section six – Appendices Appendix 5 139 Name on Final Notice Issue Date case Date Action Outcome Financial opened Final Notice against firm/ penalty issued individual? £ Geoffrey Thomas Robbins Unauthorised Activity 21/02/2006 31/08/2006 INDIVIDUAL Prohibition Walsall Bridge Insurance Consultants Limited Unauthorised Activity 21/02/2006 31/08/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions The Ancient Order of Foresters Friendly Society Limited Selling 20/05/2005 23/08/2006 FIRM Financial Penalty 55,000 David Potter & Morgan Friendly Society Fitness & Propriety Issues/Threshold Conditions 25/04/2005 21/08/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Kenneth Holdsworth trading as Holdsworth & Company Fitness & Propriety Issues/Threshold Conditions 31/01/2006 21/08/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions The Kyte Group Limited Systems & Controls 23/12/2003 21/08/2006 FIRM Financial Penalty 250,000 Millenium Management Services UK Limited Fitness & Propriety Issues/Threshold Conditions 16/03/2006 11/08/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Hoodless Brennan Plc Market Protection 22/12/2003 09/08/2006 FIRM Financial Penalty 90,000 S. P. I. (Scot) Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 04/04/2006 08/08/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Merrill Lynch International Systems & Controls 17/03/2006 04/08/2006 FIRM Financial Penalty 150,000 Jason Smith trading as Redfield Motor Company Fitness & Propriety Issues/Threshold Conditions 20/04/2006 02/08/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Leslie Packman trading as UK Motor Finance Fitness & Propriety Issues/Threshold Conditions 04/04/2006 02/08/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Paul Morrison trading as Morrison P Fitness & Propriety Issues/Threshold Conditions 05/05/2006 02/08/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Neil Johnson trading as N C J Johnson Fitness & Propriety Issues/Threshold Conditions 03/04/2006 02/08/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions GLG & Philippe Jabre Market Protection 16/12/2003 01/08/2006 FIRM/INDIVIDUAL Financial Penalty 750,000 each Millfield Partnership Limited (in administration) Selling 10/09/2004 01/08/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Mark Frankel trading as Mark Warren Estates Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/2006 28/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Gerard Mulligan trading as Top Carz Fitness & Propriety Issues/Threshold Conditions – RMAR 04/04/2006 25/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Michael John Timberlake trading as MJT Mortgages Fitness & Propriety Issues/Threshold Conditions 29/03/2005 27/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Mostlot Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 04/04/2006 25/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Southern Commercial Sales Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 04/04/2006 25/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Stratten Consultancy Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 04/04/2006 25/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Montague Management Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/2006 21/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Mr Steven Leslie Davis Systems & Controls 27/04/2005 21/07/2006 INDIVIDUAL Public Censure John Byrne Fitness & Propriety Issues/Threshold Conditions 13/12/2004 20/07/2006 INDIVIDUAL Prohibition Audley Jackson trading as Jacksons Just Mortgages Fitness & Propriety Issues/Threshold Conditions 21/02/2006 13/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Cody Francis Colville Fitness & Propriety Issues/Threshold Conditions 08/12/2005 13/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Allen Phillip Elliott (Allen Elliott) Fitness & Propriety Issues/Threshold Conditions 03/02/2003 11/07/2006 INDIVIDUAL Prohibition A S General Insurance Brokers Plc Fitness & Propriety Issues/Threshold Conditions 09/01/2006 10/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Autodent Crash Repair Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/2006 06/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Cranes of Hollesley Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/2006 06/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Frank Craney trading as City Cars Newcastle Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/2006 06/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Frontier 2k Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/2006 06/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions John Grubb trading as Craignairn Cars Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/2006 06/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Jyotika Ashokkumar Inamdar Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/2006 06/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Martin White trading as Coatbridge Car Sales Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/2006 06/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions
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Chairman’s statement FSA Annual R
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Chief Executive’s report FSA Annu
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Chief Executive’s report FSA Annu
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FSA Annual Report 2006/07 - Better Regulation Ltd

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