Name of Individual	AI Number	Firm Name	QFC Number	Type of Actions\ Misconduct	Action Effective From	Action Effective Until	Summary of Action
Abdel Kareem, Seifeldin Elsammani (Prohibited)	00412	Al Mal Bank LLC	00100	Financial penalty and prohibition	07/05/2012		View Summary of Action
Chaudhry, Kashif Mehmood	00539	Al Mal Bank LLC	00100	Financial penalty	07/05/2012		View Summary of Action
Chaudhry, Kashif Mehmood	00539	Al Mal Bank LLC	00100	12 month prohibition	24/05/2012	23/05/2013	View Summary of Action
Deane, Helen Rebecca (Prohibited)	01145	The Royal Bank of Scotland plc	00046	Public censure	20/07/2014		View Summary of Action
Deane, Helen Rebecca (Prohibited)	01145	The Royal Bank of Scotland plc	00046	Prohibition from performing controlled functions	20/07/2014		View Summary of Action
Hasberry, John Edward	00687	Guardian Wealth Management Qatar LLC	00113	Guardian Wealth Management Qatar LLC voluntary liquidation	06/05/2016	02/07/2022
Hasberry, John Edward	00687	Guardian Wealth Management Qatar LLC	00113	Financial penalty and prohibition	03/07/2019	02/07/2022	View Summary of Action
Howell, David Robert	00688	Guardian Wealth Management Qatar LLC	00113	Guardian Wealth Management Qatar LLC voluntary liquidation	06/05/2016	02/07/2022
Howell, David Robert	00688	Guardian Wealth Management Qatar LLC	00113	Financial penalty and prohibition	03/07/2019	02/07/2022	View Summary of Action
James, Prabha (Prohibited)	01655	First Abu Dhabi Bank - QFC Branch	00098	Financial penalty and five-year prohibition	15/01/2021	14/01/2026	View Summary of Action
Jones, Vincent	00690	Guardian Wealth Management Qatar LLC	00113	Guardian Wealth Management Qatar LLC voluntary liquidation	06/05/2016		View Summary of Action
Jones, Vincent	00690	Guardian Wealth Management Qatar LLC	00113	Public censure	04/07/2019		View Summary of Action
Noujaim, Karim Paul (Prohibited)	00867	JPMorgan Chase Bank, N.A. - Qatar Financial Centre Branch	00128	Financial penalty and prohibition - No Action has been taken against the firm	27/04/2014		View Summary of Action
Omara, Nazim Elzein Abbas	00544	Al Mal Bank LLC	00100	Financial Penalty	10/03/2022		View Summary of Action
Perera, Nigel Thomas Howard (Prohibited)	00950	Prime Financial Solutions LLC	00109	Financial penalty and prohibition	05/04/2021	04/04/2024	View Summary of Action
Recardo, Mark Philip (Prohibited)	00639	Prime Financial Solutions LLC	00109	Financial penalty and prohibition	18/08/2014	17/08/2016	View Summary of Action
Russell, David Gibb	00720	Guardian Wealth Management Qatar LLC	00113	Prohibition from performing controlled functions	12/12/2019	11/12/2022	View Summary of Action
Veiss, Rudolfs (Prohibited)	01304	Prime Financial Solutions LLC	00109	5-year Prohibition and financial penalty	19/09/2022	18/09/2027	View Summary of Action