Brokers Alec and Robert Finch banned by the FCA
The Financial Conduct Authority has banned a broking father and son following fraud and misuse of client money.
In light of the High Court judgment, dated 27 September 2023, the FCA said it had decided that Alec and Robert Finch failed to act with honesty and integrity in their roles at AFL Insurance Brokers.
The pair have referred the decision notices to the Upper Tribunal where each will present their case.
Any findings in the decision notices published today are therefore provisional and reflect the FCA’s belief as to what occurred – and how it considers their behaviour should be characterised, the
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