FCA Bans and Fines Adviser £742,700 over Pension Transfer Advice

FCA Bans Individual and Issues 742K Fine

The latest action from the FCA; The Financial Conduct Authority (FCA) has decided to ban Daniel Thomas from working in financial services and fine him £742,700 after finding he recklessly gave defined benefit pension transfer [...] The post FCA Bans Individual and Issues 742K Fine appeared first on .

FCA Hits DPT Financial Solutions Adviser With £742,700 Fine Over 63 Pension Transfers

Daniel Thomas is banned. The Financial Conduct Authority slapped him with a £742,700 fine and a full ban from financial… Read the original on FCA Bans DPT Financial Solutions Adviser Daniel Thomas and Fines Him £742,700. For more crypto news and analysis, visit TheCurrencyAnalytics.com.

FCA bans and fines adviser who ‘recklessly’ gave DB pension transfer advice

The FCA has banned financial adviser Daniel Thomas from working in financial services and fined him £742,700 for “recklessly” giving defined benefit pension transfer advice he was neither qualified nor allowed to give.  Thomas, who was a director and financial adviser at DPT Financial Solutions, advised 53 clients about 63 transfers out of defined benefit pension schemes over the course of five years and is believed to have earned more than £173…

FCA bans and fines adviser £742,700 over pension transfer advice

The FCA has decided to ban financial adviser Daniel Thomas from working in financial services and fine him £742,700 after finding he recklessly provided defined benefit pension transfer advice without the required qualifications.

FCA decides to ban former DPT Financial Solutions director from working in financial services

The FCA has decided to ban Daniel Thomas from working in financial services and fine him £742,700.