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Violation Tracker UK Individual Case

Company: Thorntons Law LLP
Penalty: £35,000
Year: 2010
Date: 22 September, 2010
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Thorntons paid a £35,000 fine in settlement of a finding by the FSA that the company failed to determine the suitability of its investment advice to customers' needs.
Action Type: agency action
Settlement Type: settlement of FSA Decision
Agency: Financial Services Authority
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