FSA Fines UK Private Client Broker

The UK’s Financial Services Authority has fined private client stockbroker Hoodless Brennan £90,000 ($169,763) for breaking a host of rules with its aggressive sales pitches. The FSA accused the London-based....

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By: Contributing Editor
August 18, 2006
The UK’s Financial Services Authority has fined private client stockbroker Hoodless Brennan £90,000 ($169,763) for breaking a host of rules with its aggressive sales pitches. The FSA accused the London-based....