The account of a broker who says he lost money in an online brokerage account linked to a major U.S. financial institution has been suspended, a U.K. Financial Conduct Authority (FCA) official said Thursday.
“We can confirm that the FCA has suspended the account of the broker who had the account, because of the ‘suspend and monitor’ notice issued to him on September 30,” the FPC said in a statement.
The broker, identified only as Mr. F., was suspended after he failed to provide a statement of account, which is required under the securities laws, by the end of October, according to the FFCA.
Mr. M. was suspended in April, the FFA said.
Mr M. is a London-based broker.
“The FCA does not want to see any further breaches of the rules,” the regulator said in the statement.
It was not immediately clear whether Mr. P. had responded to the suspension.
The broker, who had an office in London, did not immediately respond to a request for comment.
The account is linked to the brokerage firm of Mr. W. and has not been opened for more than six months, the regulator added.
The firm, which sells a range of financial products, including interest rate swaps and ETFs, has been embroiled in a number of regulatory disputes, including a suit with the Financial Conduct Commission that ended in a settlement.
The FFCa statement said the brokerage had not provided a copy of the statement of accounts, but had notified the regulator that it was not providing a copy.
“We take the issue very seriously and have had a number in recent days, and we have decided to suspend the account for the time being,” the statement said.
“At this time, we do not have further information to confirm the reason for the suspension or to confirm that Mr. C. has provided any further evidence of his account being in breach of the FOC.”
In a statement, Mr. D. said the firm had received a notice from the FFO in April.
He said he would review the account.
Mr. D., who lives in the U.KS., said he lost his account about two weeks ago after failing to provide the account holder with a copy as required under EU rules.
The firm’s statement said that, after a review of the account statement, it found “there were several errors made” and the firm was reviewing its procedures.
“As a result of these errors, we are taking steps to ensure that any additional information required for a review by the FCO is provided to the account holders before it is issued to them,” it said.
In addition to the company, the firm has accounts with a number a UBS AG and a Citigroup Inc. account with the Federal Reserve Bank of New York.
A statement from the firm said the company is working to resolve the issues with the FICO account.
UBS said it was also reviewing its compliance with FOC rules.UBS, which has about 1.5 million employees worldwide, has also been subject to scrutiny in the past for having failed to comply with FICO.
In a report published last year, the New York regulator said UBS had not been following FICO regulations and had “significant” risks to its financial stability.
The report noted that UBS was one of just three major U, S and Canada banks that had not met the minimum required minimum level of information required by the regulator.
Fidelity, which also has about 700,000 employees worldwide and has $25 billion in assets, is also facing scrutiny from regulators for failing to follow FICO rules.
In February, the Federal Deposit Insurance Corp. announced it would review Fidelity’s compliance with the requirements of the Foreign Account Tax Compliance Act, or FATCA.
Earlier this year, Fidelity said it would end its relationship with Fiduciary Trust, a unit of the investment firm that had a relationship with Mr. Trump’s company, which was investigated by the FBI in connection with the 2016 election.