The Financial Services Authority (FSA) has fined Peterborough-based Rockingham Independent £35,000 and imposed partial bans on its directors and an adviser for exposing retirees to unsuitable advice.
Directors Stephen Hunt and Jonathan Edwards and adviser Gary Forster have been banned from selling complicated investments. The FSA found a number of failures at the firm resulting in 426 custom...
To continue reading this article...
Join Professional Pensions
Become a Professional Pensions Lite Member today
In just a few clicks you can start your free Professional Pensions Lite membership, providing you access to:
- Three complimentary articles per month covering the latest real-time news, analysis and opinion from the industry
- Receive important and breaking news stories via our two daily news alerts
- Hear from industry experts and other forward-thinking leaders
Are you a trustee, investment consultant or in-house pension and benefit scheme professional? You can apply for full complimentary access here
