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Violation Tracker UK Individual Case

Company: Atlantic Law LLP
Penalty: £200,000
Year: 2010
Date: 13 May, 2010
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Atlantic Law and a senior partner were both ordered to pay £200,000 in judgment of a finding by the FSA that the company approved investment advertisements for four unregulated Spanish stockbroking firms without taking reasonable steps to ensure the honesty of the offers, when there were obvious indications that the firms could be boiler room share scam operators.
Action Type: agency action
Agency: Financial Services Authority
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