Wills & Co Stockbrokers Ltd. Formerly Grahame H. Wills & Company Limited (WILLS)

Wills & Co Stockbrokers Ltd. Formerly Grahame H. Wills & Company Limited (WILLS) was one of the City’s oldest stockbroking firms. Set up in 1883 as the financial services division of the WILLS tobacco business it fell foul of the Financial Services Authority (FSA) in October 2007. For breaches of the FSA’s Principles for Business in relation to advising and selling certain higher risk smaller capitalised securities to private customers, the FSA imposed a financial penalty of £49,000 on WILLS. WILLS agreed the facts and matters relied on with the FSA and agreed to settle the matter at an early stage of the proceedings and therefore qualified for 30% reduction in penalty. Were it not for this discount, the FSA would otherwise have sought to impose a financial penalty of £70,000.

We have the history of Wills and Co Stockbrokers documented here.



date added: 06/07/2012  ·  source: fsa.gov.uk

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