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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Termination

Title
ASIC bans former Commonwealth Financial Planning adviser for 5 years
Reason
Misconduct, abuse
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Warning

Title
FCA warns against Karel Besta / KB Financial Solutions clone of EEA authorised firm
Reason
Unregulated, Fraudulent
Comment
Karel Besta / KB Financial Solutions 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 Prime Admin Services
Reason
Unregulated
Comment
Prime Admin Services has been providing financial services or products in the UK without being authorised by FCA.
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Warning

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

Title
CFTC Charges Blue Guru Trading, LLC, with Fraud
Reason
Fraudulent
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Warning

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

Title
FCA issues a list of unauthorised binary options firms
Reason
Unregulated
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Termination

Title
ASIC permanently bans a financial adviser of Futuro Financial Service
Reason
Abuse
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Reprimand

Title
Hong Kong SFC reprimands and fines EFG Bank AG
Reason
Unregulated
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Fine

Title
CySEC issued an administrative fine to mr. Pavel Krymov (Shareholder of Skopalino Finance Ltd)
Reason
Non Compliant