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Mis-sold Investment: Rock Capital Group City Park Fund considered unsuitable for Mr P


The Financial Ombudsman Service upheld the complaint against Greystone Financial Services Limited about the investment made through a SIPP As detailed in FOS decision DRN1107272, the Rock City Fund which had purchased large office space in a business park in Glasgow using significant amounts of borrowing and investor capital, got into trouble in 2011 before … Continued

Single IFA faces FCA restrictions after no less than 14 upheld Ombudsman complaints regarding high-risk investments into SIPPs


Kingswood Financial Advisors, a Mid Glamorgan based financial advice firm has had restrictions imposed by the Financial Conduct Authority that mean it can no longer transfer people’s pensions into SIPPs with Non-Standard Investments. The FCA notes say that the firm must not “carry out any regulated activities in relation pension switches and/or pension transfers to … Continued