Penalties

Search a company by a name to find if they have been penalized for a reason or another. Use the advanced filter to refine the search results according to your needs.
Penalty Information
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Warning

Title
FMA Austria warns against Minax PTE LTD
Reason
Unregulated
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Suspension

Title
CySEC suspends Fenix Capital Markets Trading Ltd
Reason
Non Compliant
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Warning

Title
FCA warns against Access Loan
Reason
Unregulated
Comment
Access Loan has been providing financial services or products in the UK without being authorised by the FCA.
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Warning

Title
FCA warns against Harper Wealth Management
Reason
Unregulated
Comment
Harper Wealth Management has been providing financial services or products in the UK without being authorised by the FCA.
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Warning

Title
FCA warns against C. Letlid Loan and Finance Ltd
Reason
Unregulated, Fraudulent
Comment
C. Letlid Loan and Finance Ltd has been providing financial services or products in the UK without being authorised by the FCA.
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Warning

Title
FMA (NZ) warns against CCM Clearing Limited
Reason
Unregulated
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Warning

Title
FCA (NZ) warns against Oxford Finance Services
Reason
Unregulated
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Warning

Title
FCA warns against Invest Conseils (Group AIM LTD) (clone of authorised firm)
Reason
Unregulated, Fraudulent
Comment
This firm is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm.
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Warning

Title
FCA warns against Citi Security Finance
Reason
Unregulated
Comment
Citi Security Finance has been providing financial services or products in the UK without being authorised by the FCA.
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Warning

Title
FCA warns against Asic Trader / Hellax Corp
Reason
Unregulated
Comment
Asic Trader / Hellax Corp has been providing financial services or products in the UK without beiung authorised by the FCA.