Related Individuals – ENFORCEMENT & DISCIPLINARY ACTIONS
Search Approved Individuals



Name of Individual Firm Name QFC Number Type of Actions\ Misconduct Action Effective From Action Effective Until Summary of Action
Luis LaplanaHorizon Crescent Wealth LLC (In Liquidation)00223Indefinite Prohibition, Financial Penalties17/01/2023 View Summary of Action
Robert SharrattHorizon Crescent Wealth LLC (In Liquidation)00223Indefinite Prohibition, Financial Penalties 07/12/2022 View Summary of Action

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APPROVED INDIVIDUALS – ENFORCEMENT & DISCIPLINARY ACTIONS DETAILS Registered Individuals – Enforcement & Disciplinary Actions
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