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Violation Tracker UK Individual Case

Company: Topps Rogers Financial Management
Penalty: £97,600
Year: 2012
Date: 13 February, 2012
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Topps Rogers was ordered to pay a £97,000 fine from a finding by the FSA that the company gave unsuitable advice to investment customers.
Action Type: agency action
Agency: Financial Services Authority
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