United Kingdom

Public Details from Companies House and The Insolvency Service in the United Kingdom regarding the 12-year disqualification of Kristina Anne Charles-Jones, a.k.a. Krissy Jones, a citizen of the United Kingdom residing in California, USA, after the provision of "false information" to obtain U.K. Government 'Bounce Back Loans'.

Public Notice by the United Kingdom's Financial Conduct Authority that it has imposed a fine of £18 million on Julius Baer International Limited "for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA" and banned "Gustavo Raitzin, former Regional Head for Bank Julius Baer, Thomas Seiler, former BJB Sub-Regional (Market) Head for Russia and Eastern Europe and JBI non-executive director, and Louise Whitestone,former relationship manager on JBI’s Russian and Eastern European Desk".

Judgment striking off Matthew Ledvina as a solicitor in England and Wales for "misconduct" and "dishonesty" in Solicitors Regulation Authority Ltd. v. Matthew Conway Ledvina at the Solicitors Disciplinary Tribunal.

Disciplinary Consent Order from the United Kingdom's Insolvency Service that insolvency practitioner John Kelmanson "be Severely Reprimanded and fine £6,500" following "a Complaint that in his role as a potential liquidator/liquidator of a Company, Mr Kelmanson breached the fundamental principle of Professional Competence and Due Care of the Insolvency Code of Ethics".

Decision Notice by the United Kingdom's Financial Conduct Authority that it has imposed a fine of £154,400 on Zafar Khan for regulatory breaches involving Carillion Plc, described as "a leading international construction, project finance and support services business operating in the UK, Canada and Middle East" before it went into liquidation in 2018.

Decision Notice by the United Kingdom's Financial Conduct Authority that it has imposed a fine of £397,800 on Richard John Howson for regulatory breaches involving Carillion Plc, described as "a leading international construction, project finance and support services business operating in the UK, Canada and Middle East" before it went into liquidation in 2018.

Decision Notice by the United Kingdom's Financial Conduct Authority imposing a fine of £318,000 on Richard Adam for regulatory breaches involving Carillion Plc, described as "a leading international construction, project finance and support services business operating in the UK, Canada and Middle East" before it went into liquidation in 2018.

Decision Notice by the United Kingdom's Financial Conduct Authority imposing a "Public Censure" on Carillion Plc, described as "a leading international construction, project finance and support services business operating in the UK, Canada and Middle East" before it went into liquidation in 2018, for regulatory breaches involving market manipulation, the dissemination of misleading information, and "acting with integrity".

Particulars of Claim regarding the alleged promotion of shares in Cayman Islands-domiciled EMB Fund Limited and an alleged "Loan Scheme" in the Financial Conduct Authority v. Argento Wealth Limited, of London, England, and Daniel Willis, of Fareham, Hampshire, England, at the High Court of Justice of England and Wales.

Press release by The Insolvency Service, in the United Kingdom that it has imposed disqualifications on Ronald Albert Popely, described as a resident of Gibraltar; Darren James Popely, and Stephen William Dickson for their roles in a scheme "to invest in hotel rooms" involving the Hever Hotel, in Kent, England.

Claim Form regarding the alleged promotion of shares in Cayman Islands-domiciled EMB Fund Limited and the alleged promotion of "a 'Loan Note' investment scheme" in the Financial Conduct Authority, described as "a regulator of financial services firms in the United Kingdom" v. Argento Wealth Limited, of London, England, and Daniel Willis, of Fareham, Hampshire, England, at the High Court of Justice of England and Wales.

Public Statement by the United Kingdom's Financial Conduct Authority regarding "recent statements made by EQONEX Limited and the Binance Group confirming that an entity called Bifinity will advance a US$36 million convertible loan to EQONEX".

Judgment imposing a fine of £25,000 and costs of £32,500 against MdR Solicitors and dismissing allegations against Elizabeth Ellen in Solicitors Regulation Authority Ltd. v. Elizabeth Ellen and MdR Solicitors, formerly known as Mishcon de Reya Solicitors, at the Solicitors Disciplinary Tribunal.

Decision by the Solicitors Regulatory Authority for England and Wales imposing a fine of £232,500, plus costs of £50,000, on Mishcon de Reya LLP, a law firm, for regulatory breaches.

Press Release by the United Kingdom's Financial Conduct Authority announcing the arrest in England of Craig Whyte, a Scottish businessman who previously owned Rangers Football Club, for "non-disclosure of key passwords for various laptops and phones" that were seized from him in 2018.

Public Notice by the United Kingdom Financial Conduct Authority that National Westminster Bank Plc was fined £264.8 million "following convictions for three offences of failing to comply with money laundering regulations".

Press Release from the United Kingdom's Insolvency Service announcing that it "shut down" seven "mini-bond companies" that were part of Magna Group as a result of the "mis-selling of over £20m of loan notes".

Public Notice by the United Kingdom's Financial Conduct Authority that Dolfin Financial (UK) Ltd., described as a "wealth management firm", has entered "Special Administration". Editor's Note: Research by OffshoreAlert at Companies House for England and Wales showed that the directors of Dolfin Financial (UK) Ltd. are Rodney Pennington Baker-Bates and Amir Mohammad Nabi, who are citizens of the United Kingdom, while former directors are Stephen Michael Kinglsey, a citizen of the U.K. and France, who resigned effective March 31st, 2021; Sanjay Maraj, a citizen of the U.K., who resigned effective September 30th, 2020; Denisz Andras Nagy, a citizen of Hungary, who resigned effective April 30th, 2020; Donald Dimitri Percival, a citizen of the U.K., who resigned effective October 25th, 2016; Henrik Segerberg, a citizen of Sweden, who resigned effective September 20th, 2013; Kai Yeu Tang, a citizen of the U.K., who resigned effective September 20th, 2013; Adrian van den Bok, a citizen of the U.K., who resigned effective February 10th, 2014, and Dr. Fadi Zaher, a citizen of Sweden, who resigned effective April 14th, 2016.

Final Notice by the United Kingdom's Financial Conduct Authority that it has imposed a fine of £178,000 on Sapien Capital Limited for regulatory breaches. Editor's Note: Research by OffshoreAlert at Companies House for England and Wales showed that Sapien Capital Limited was incorporated on October 24th, 2007 and its directors and controlling persons are Ramesh Kumar Ahuja, a citizen of India, and Aditi Aggarwal, an Indian chartered accountant, while the company's website identifies its "Team" as Ramesh Kumar Ahuja, "CEO and Director"; Aditi Aggarwal, "Director", and Matthew Hill, "Head of Compliance and MLRO".

Press Release by the United Kingdom's Financial Conduct Authority that it has "commenced criminal proceedings against National Westminster Bank Plc" for suspected involvement in money laundering.

Public Notice by the United Kingdom's Financial Conduct Authority that it has "imposed a number of restrictions on Dolfin Financial (UK) Ltd. stopping it from carrying on any regulated activities due to concerns about the way it conducts its business". Editor's Note: Research by OffshoreAlert at Companies House for England and Wales showed that Dolfin Financial (UK) Ltd. was incorporated on November 5th, 2010, its directors are Rodney Pennington Baker-Bates, who is chairman of British insurance broker Willis Ltd.; Stephen Michael Kingsley, a former partner of PR firm FTI Consulting, and Amir Mohammed Nabi, who are all citizens of the United Kingdom, its former directors include Sanjay Maraj, a citizen of the United Kingdom, who resigned effective September 30th, 2020, and Denis Andras Nagy, a citizen of Hungary, who resigned effective April 30th, 2020, and its "person with significant control" is Denis Nagy.

Press Release by the United Kingdom's Financial Conduct Authority announcing it has "commenced criminal proceedings" against brothers Mohammed Zina, who was employed as an analyst with Goldman Sachs International, and Suhail Zina, who was a lawyer with Clifford Chance, for suspected insider dealing involving ARM Holdings Plc, Alternative Networks Plc, Punch Taverns Plc, Shawbrook Plc, HSN Inc., and Snyder's Lance Inc.

Press Release by the United Kingdom's Financial Conduct Authority announcing it has imposed a fine of £3.44 million on TFS-ICAP Ltd., described as "an FX options broker", for "market misconduct".

Final Notice imposing a fine of £48 million on Goldman Sachs International regarding a "bribery and misconduct" scheme involving 1Malaysia Development Berhad, a.k.a. 1MDB.

Final Notice by the Bank of England's Prudential Regulation Authority imposing a fine of £48.3 million on Goldman Sachs International, described as "an investment banking, securities and investment management firm headquartered in London", regarding allegations of "bribery and misconduct" involving 1Malaysia Development Berhad.

Judgment on an Agreed Outcome in Solicitors Regulation Authority v. George Lonsdale at the Solicitors Disciplinary Tribunal.

Judgment in Solicitors Regulation Authority v. Colin Ross Downie at the Solicitors Disciplinary Tribunal, for England and Wales.

Amended Judgment in Solicitors Regulation Authority v. Richard Emmett, Lindsay Emmett, Matthew Stokes, Mary Hunter, David Rae, and Dale Stephenson at the Solicitors Disciplinary Tribunal.

Judgment in Solicitors Regulation Authority v. Mark Harvey Lorrell at the Solicitors Disciplinary Tribunal.

Judgment in Solicitors Regulation Authority v. Richard Emmett, Lindsay Emmett, Matthew Stokes, Mary Hunter, David Rae, and Dale Stephenson at the Solicitors Disciplinary Tribunal.

Order of the Solicitors Disciplinary Tribunal that Alexis Maitland Hudson be Struck Off the Roll of Solicitors.

Judgment in Solicitors Regulatory Authority v. Alexis Maitland Hudson at the Solicitors Disciplinary Tribunal.

Final Determination Notice by The Pensions Regulator, in the United Kingdom, regarding The Optimum Retirement Benefit Plan.

Gordon Craig - Final Determination Notice - The Pensions Regulator - April 20, 2018

Regulatory Settlement Agreement in Solicitors Regulation Authority v. Gareth Ward Fatchett.

Judgment in Solicitors Regulation Authority v. Andrew Lindsay and Marina Frankel at the Solicitors Disciplinary Tribunal.

Case Details of the Director Disqualification of Brett Jolly by the United Kingdom Insolvency Service.

Determination Notice in The Pensions Regulator v. Timothy Walker, Macalister Lindsay, and Desmond Cheyne.

Final Notice by the Financial Conduct Authority regarding Patrick Francis McCreesh.

Regulatory Settlement Agreement in Solicitors Regulation Authority v. Virginia Dabney Hopkins Rylatt.

Judgment in Solicitors Regulation Authority v. Mark Lorrell at the Solicitors Disciplinary Tribunal.

Judgment in Solicitors Regulation Authority v. Christopher Hale at the Solicitors Disciplinary Tribunal.

Judgment in Solicitors Regulation Authority v. Duncan Neil Gibbins, Matthew Roy Edmund Dean, and Nicola Klimkowski at the Solicitors Disciplinary Tribunal.

Judgment in Solicitors Regulation Authority v. David Fenton Wingate and Steven Edward Evans by the Solicitors Disciplinary Tribunal.

Press Release by the United Kingdom's Insolvency Service announcing that "19 companies involved in a giant boiler room scam to sell carbon credits to the public for investment have been ordered into liquidation in the public interest, following petitions presented by the Secretary of State for Business, Innovation & Skills", namely Alpine Consult Limited, Environmental Acquisitions Limited, Blue Horizons Trading Ltd., Burlington Energy Markets Ltd., Charles Stratton Limited, Claremont James Ltd., CNI (UK) Limited, Clear View Partnership Ltd., Eden Brown Group S.L., Enviro Associates Limited, Global Carbon Exchange Limited, Harman Royce Limited, Karlsson Chase Limited, Liberty Alternative Investments Limited, New Frontier Partnership Ltd., Oswald Bradshaw Limited, Pure Carbon Ltd., Seasaw Limited, and Strategic Carbon Solutions Ltd.,

Judgment in Solicitors Regulation Authority v. Richard Anthony Barnett and Anthony Augustine Swift at the Solicitors Disciplinary Tribunal.

Judgment by the Solicitors Disciplinary Tribunal striking off Timothy Schools as a solicitor in England and Wales in Solicitors Regulation Authority v. Timothy Paul Schools.

Decision to Prosecute Timothy Schools before the Solicitors Disciplinary Tribunal by the Solicitors Regulation Authority.

Findings of the Solicitors Disciplinary Tribunal in Solicitors Regulation Authority v. Timothy Schools, dated February 25, 2009.

Findings of the Solicitors Disciplinary Tribunal in  The Law Society v. Timothy Schools, dated July 5, 2007.