Pentagon Capital Management plc
Pentagon Capital Management plc (FRN 189239, Company No. 03657659) was an FCA-authorised investment fund manager and financial adviser. The firm also came to the attention of US regulators: the Securities and Exchange Commission took enforcement action against Pentagon Capital Management, finding that the firm had engaged in late trading in mutual funds between 2001 and 2003. The US court upheld those findings and ordered the firm to pay a $76.8 million fine.
The firm entered administration in the UK in June 2012. The FSCS investigated Pentagon Capital Management and concluded its initial investigation in June 2019, at which point claims were passed to its processing teams for individual assessment.
Former clients of Pentagon Capital Management who suffered investment losses and believe those losses arose from misconduct or unsuitable advice may still be able to pursue a claim.
Issues / Why You May Have a Claim
The SEC enforcement action against Pentagon Capital Management identified serious wrongdoing in the way the firm managed certain investment strategies. Clients who suffered losses arising from the firm’s conduct, whether in connection with its US activities or its UK operations, should seek specialist advice to understand whether a compensation route remains open to them.


