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
FCA warns against BAT Financial Management clone of EEA authorised firm
Reason
Fraudulent, Unregulated
Comment
BAT Financial Management is not authorised or registered by the FCA
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Warning

Title
FCA warns against Tradepro Capitals Limited
Reason
Unregulated
Comment
Tradepro Capitals Limited been providing financial services or products in the UK without being authorised by the FCA.
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Warning

Title
FCA warns against AlgoTradingSoft Broker Limited/AlgoTradingSoft Global
Reason
Unregulated
Comment
AlgoTradingSoft Broker Limited/AlgoTradingSoft Global is not authorised by the FCA.
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Warning

Title
FCA warns against Loans for bad credit clone firm
Reason
Unregulated
Comment
Loans for bad credit clone firm is not authorised or registered by the FCA.
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Warning

Title
FCA warns against Carter Financial Services
Reason
Unregulated
Comment
The FMA warns investors against concluding banking business requiring a licence with this provider.
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Warning

Title
FCA warns against Roman Merenda clone of authorised firm
Reason
Fraudulent, Unregulated
Comment
Roman Merenda is not authorised by the FCA.
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Warning

Title
FCA warns against Apsilon Ltd t/a Marketrade.co
Reason
Fraudulent, Unregulated
Comment
Apsilon Ltd t/a Marketrade.co 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 FSM Smart
Reason
Fraudulent, Unregulated
Comment
FSM Smart is not authorised or registered by the FCA.
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Warning

Title
FCA warns against Amana Trade/ AmanaTrade clone of authorised firm
Reason
Fraudulent, Unregulated
Comment
Amana Trade/ AmanaTrade 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
CNMV warns against several unregulated entities
Reason
Unregulated
Comment
SOCIÉTÉ GENERALE D'PATRIMOINE, S.A. / ALPHATEC LTD KAYAFX / BALI LIMITED LTD / ELMOND ENTERPRISE LTD / ETHEREUM CODE BOT / BCOIN MARKET / BROKERF1 MARKETS GLOBAL CORP TRADE MARKETS GLOBAL CORP CASA DE GENERAL OPTIONS LTD / EUROTRADE INVESTMENTS / are not authorised to provide the investment services detailed in Article 140 of the Securities Markets Law, which include investment advice, or to provide the auxiliary services detailed in letters a), b), d), f) and g) of Article 141 of the said Law in relation to the financial instruments detailed in Article 2 of the said Law, including, for those purposes, foreign currency transactions; and is not authorized to perform the activities reserved for collective investment institutions detailed in paragraph 1 of Article 1 of Law 35/2003, of 4 th November, on Collective Investment Institutions.