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Rolls Building London

James Lloyd acts in joined FCA appeals


James Lloyd acts as junior alone for four individuals in joined appeals in a case commencing before the Upper Tribunal (Tax and Chancery Chamber) 8th November 2021, scheduled to last five weeks.

The appeals relate to penalty and prohibition notices issued by the Financial Conduct Authority over ‘high risk’ pension transfers totalling approximately £76million.

James is instructed by Luke Gittos, Partner at Murrays Partnership.

Media coverage of the case can be found here:

The Financial Times

The FT Adviser

City Wire (1)

City Wire (2)

International Investment News


More from our regulatory and professional discipline teams can be found at the links below:

Criminal Regulatory

Professional Regulation



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