Archive for September, 2011
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FSA fines Rockingham Independent Limited £35,000

by Forex Rooton September 15, 2011 1:21 pm BST
The Financial Services Authority (FSA) has fined Peterborough based firm Rockingham Independent Limited (Rockingham) £35,000 and imposed partial prohibitions on its directors Stephen Hunt and Jonathan Edwards and adviser Gary Forster.The FSA found a number of failures at the firm resulting in 426 customers near or at retirement age being