RegActions records a disclosed FCA monetary penalty of £88,100 dated 16 May 2022 for Robert Ward.
Case facts
| Firm or individual | Robert Ward |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 16 May 2022 |
| Penalty | £88,100 |
| RegActions breach classification | MIS_SELLING |
| Public case ID | fae3c640-1466-41be-99bc-3b8277c669fd |
Case summary
This Final Notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.
Official evidence
This page meets the public case-page evidence threshold.
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Scope
This page describes one source-linked monetary record. RegActions excludes non-monetary outcomes and amounts awaiting review from FCA fine totals. The FCA publication remains the authoritative source.