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Violation Tracker UK Individual Case

Company: LJ Financial Planning Ltd.
Penalty: £107,200
Year: 2020
Date: 9 December, 2020
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: LJ Financial Planning paid a £107,200 fine in settlement of a finding by the FCA that the company failed to ensure its pension investment advice was suitable for customers, and failed to manage potential conflicts of interest when it held shares in financial service companies it recommended without informing customers.
Action Type: agency action
Settlement Type: settlement of FCA Decision
Agency: Financial Conduct Authority
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