Individual enforcement history

Robert Finch

IRN RXF00255Register status · Regulatory approval no longer required1 enforcement action

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01 · Enforcement history

Actions recorded on Firmwatcher.

5 Aug 2026

Upper Tribunal decision

Robert Finch was one of two individuals (a father and son) the FCA decided to ban after finding they had misused client money at AFL Insurance Brokers Limited and prepared false financial records to mislead a buyer, leaving the firm with a client money deficit. The FCA issued Decision Notices and noted it would have imposed a financial penalty of £169,800 on Robert Finch but did not impose any fine because he provided verifiable evidence of serious financial hardship; the case was the subject of an Upper Tribunal (Tax and Chancery Chamber) decision dated 12 June 2026 (published 5 August 2026).

Summarised from notice and press

Date	Action	Summary	Source document
5 Aug 2026	Upper Tribunal decision	Robert Finch was one of two individuals (a father and son) the FCA decided to ban after finding they had misused client money at AFL Insurance Brokers Limited and prepared false financial records to mislead a buyer, leaving the firm with a client money deficit. The FCA issued Decision Notices and noted it would have imposed a financial penalty of £169,800 on Robert Finch but did not impose any fine because he provided verifiable evidence of serious financial hardship; the case was the subject of an Upper Tribunal (Tax and Chancery Chamber) decision dated 12 June 2026 (published 5 August 2026). Summarised from notice and press	Open the published notice or announcement

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