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Violation Tracker UK Individual Case

Company: Direct Sharedeal Limited
Penalty: £101,500
Year: 2010
Date: 17 February, 2010
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Direct Sharedeal paid a £101,500 fine in settlement of a finding by the FSA that the company failed to prevent its appointed representative using misleading sales techniques and failing to clearly explain the inherent risks of buying penny shares.
Action Type: agency action
Settlement Type: settlement of FSA Decision
Agency: Financial Services Authority
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