Montague Pitman - Appointed Representatives of Falcon Securities

 FSA FINAL NOTICE
___________________________________________________________________________
To: Falcon Securities (UK) Limited
Of: 154 Bishopsgate, London, EC2M 4LN
Date: 29 January 2010
TAKE NOTICE: The Financial Services Authority of 25 The North Colonnade, Canary
Wharf, London E14 5HS ("the FSA") gives you final notice about issuing a public
censure.
1. THE ACTION
1.1. The FSA gave Falcon Securities (UK) Limited (“Falcon”) a Decision Notice on 29
January 2009 which notified Falcon that pursuant to section 205 of the Financial
Services and Markets Act 2000 (“the Act”), the FSA had decided to impose a public
censure on Falcon in respect of breaches of the FSA Principles for Businesses (“the
Principles”) by Falcon’s appointed representative, Montague Pitman Stockbrokers
Limited (“MPS”) which occurred between 17 September 2007 and 30 January 2009
(“the Relevant Period”) in relation to advising on and arranging the sale of higher risk
securities for MPS’s retail clients.

date added: 03/10/2012  ·  source: fsa.gov.uk

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Mis-sold Shares Limited is regulated by the Claims Management Regulator in respect of regulated claims management activities Licence number CRM:30945

 

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A claim for mis-selling can arise if you have suffered losses as a result of negligent advice from a stockbroker or IFA.

 

  • Did you complete a fact find?
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  • Were recommendations suitable?

 

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