Firm details
Membership details
- Member number
- C004632199
Contact details
- Location
- London, United Kingdom
Disciplinary and regulatory record
Case No. 050714/MATT
- Hearing date
- 15 May 2020
- Acceptance date
- 15 May 2020
- Committee
- Investigation Committee
- Decision
- Consent Order - Reprimand
- Linked documents
- View case file
Case No. 047330/MATT
- Hearing date
- 02 Nov 2020
- Acceptance date
- 02 Nov 2020
- Committee
- Investigation Committee
- Decision
- Consent Order - Severe Reprimand
- Linked documents
- View case file
Case No. 064892/DPBR
- Hearing date
- 24 Feb 2022
- Acceptance date
- 21 Apr 2022
- Committee
- Investment Business Committee
- Decision
- Offer the firm/individual regulatory penalty.
- Linked documents
- View case file
Case No. 063180/RAMO
- Hearing date
- 09 Mar 2022
- Acceptance date
- 22 Mar 2022
- Committee
- Audit Registration Committee
- Decision
- Offer the firm/individual regulatory penalty.
- Linked documents
- View case file