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Violation Tracker UK Summary for Offence Group

Offence Group: financial offences
Penalty Total since 2010£4,178,153,261
Number of Penalty Cases: 3,837
Note: Includes records/cases without monetary penalties.
Top 10 Parent CompaniesTotal PenaltyNumber of Cases
UBS£456,138,7768
NatWest Group PLC£364,725,85610
JPMorgan Chase£174,006,2003
Banco Santander£173,488,9006
Deutsche Bank£170,135,0243
Standard Chartered£169,185,0103
Lloyds Banking Group£149,343,6009
Goldman Sachs£148,461,5004
Tesco PLC£148,400,0002
Barclays£144,677,3696

Individual Penalty Cases:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyParentParent Major IndustryOffence TypeYearAgency sort iconPenalty Amount
The Prudential Assurance Company LimitedM&G PLCfinancial servicesinvestor protection violation2013UK-FSA£16,000,000
Prudential plcPrudential PLCfinancial servicesinvestor protection violation2013UK-FSA£14,000,000
Care Asset Management Limited investor protection violation2013UK-FSA£56,000
Lamprell plc investor protection violation2013UK-FSA£2,428,300
Nestor Healthcare Group Limited investor protection violation2013UK-FSA£175,000
UBS AGUBSfinancial servicesinvestor protection violation2013UK-FSA£9,450,000
Cheshire Mortgage Corporation Limited mortgage abuses2012UK-FSA£1,225,000
UBS AGUBSfinancial servicesinvestor protection violation2012UK-FSA£29,700,000
Savoy Investment Management Limited investor protection violation2012UK-FSA£412,000
Plus500UK LimitedPlus500 Limitedfinancial servicesinvestor protection violation2012UK-FSA£205,128
James Sharp and Company investor protection violation2012UK-FSA£49,000
Sun Life Assurance Company of Canada (UK) LimitedSun Life Financialfinancial servicesinvestor protection violation2012UK-FSA£600,000
Pi Financial Limited investor protection violation2012UK-FSA£58,300
Blackrock Investment Management (UK) LimitedBlackRockfinancial servicesinvestor protection violation2012UK-FSA£9,533,100
Turkish Bank (UK) Ltd anti-money-laundering deficiencies2012UK-FSA£294,000
Mosley & Company investor protection violation2012UK-FSA£10,500
Habib Bank AG Zurich anti-money-laundering deficiencies2012UK-FSA£525,000
Martin Currie Investment Management Limited and Martin Currie Inc investor protection violation2012UK-FSA£3,500,000
Exillon Energy plc investor protection violation2012UK-FSA£292,950
Accendo Markets Limited investor protection violation2012UK-FSA£56,000
Christchurch Investment Management Limited investor protection violation2012UK-FSA£26,600
Coutts & CompanyNatWest Group PLCfinancial servicesanti-money-laundering deficiencies2012UK-FSA£8,750,000
Santander UK plcBanco Santanderfinancial servicesinvestor protection violation2012UK-FSA£1,500,000
Greenlight Capital Inc. insider trading2012UK-FSA£3,650,795
Topps Rogers Financial Management investor protection violation2012UK-FSA£97,600
Integrated Financial Arrangements plcIntegraFin Holdings PLCfinancial servicesinvestor protection violation2011UK-FSA£3,500,000
HSBC Bank plcHSBCfinancial servicesinvestor protection violation2011UK-FSA£10,500,000
McInroy & Wood Limited investor protection violation2011UK-FSA£15,050
Coutts & CompanyNatWest Group PLCfinancial servicesinvestor protection violation2011UK-FSA£6,300,000
Credit Suisse (UK) LimitedUBSfinancial servicesinvestor protection violation2011UK-FSA£5,950,000
Towry Investment Management Limited investor protection violation2011UK-FSA£494,900
Rockingham Independent Limited investor protection violation2011UK-FSA£35,000
Lewis Partnership mortgage abuses2011UK-FSA£106,499
Swift 1st Limited mortgage abuses2011UK-FSA£630,000
Fox Hayes investor protection violation2011UK-FSA£454,770
Bank of Scotland PlcLloyds Banking Groupfinancial servicesinvestor protection violation2011UK-FSA£3,500,000
Norwich and Peterborough Building SocietyYorkshire Building Societyfinancial servicesinvestor protection violation2011UK-FSA£1,400,000
Specialist Solutions plc investor protection violation2011UK-FSA£35,000
ActivTrades Plc investor protection violation2011UK-FSA£85,750
Cricket Hill Financial Planning Limited investor protection violation2011UK-FSA£70,000
Barclays Capital Securities LimitedBarclaysfinancial servicesinvestor protection violation2011UK-FSA£1,127,559
JJB Sports plc investor protection violation2011UK-FSA£455,000
Perspective Financial Management Limited investor protection violation2011UK-FSA£49,000
City Index Limited investor protection violation2011UK-FSA£490,000
Barclays Bank plcBarclaysfinancial servicesinvestor protection violation2011UK-FSA£7,700,000
Scottish Equitable PLCAegonfinancial servicesinvestor protection violation2010UK-FSA£2,800,000
Property Park Mortgages mortgage abuses2010UK-FSA£104,294
Bridging Loans Ltd mortgage abuses2010UK-FSA£42,000
Thorntons Law LLP investor protection violation2010UK-FSA£35,000
Goldman Sachs InternationalGoldman Sachsfinancial servicesinvestor protection violation2010UK-FSA£17,500,000
Moneywise IFA Limited investor protection violation2010UK-FSA£19,600
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2010UK-FSA£1,575,000
The Royal Bank of Scotland plc et al.NatWest Group PLCfinancial servicesanti-money-laundering deficiencies2010UK-FSA£5,600,000
Redstone Mortgages Limited mortgage abuses2010UK-FSA£630,000
Photo-Me International plc investor protection violation2010UK-FSA£500,000
N-Hanced LLP investor protection violation2010UK-FSA£21,000
Vantage Capital Market LLP investor protection violation2010UK-FSA£700,000
Rowan Dartington & Co LimitedSt. James's Place PLCfinancial servicesinvestor protection violation2010UK-FSA£511,000
Close Investments LimitedClose Brothers Group PLCfinancial servicesinvestor protection violation2010UK-FSA£98,000
J.P. Morgan Securities Ltd.JPMorgan Chasefinancial servicesinvestor protection violation2010UK-FSA£33,320,000
Atlantic Law LLP investor protection violation2010UK-FSA£200,000
Alpari (UK) Limited anti-money-laundering deficiencies2010UK-FSA£140,000
Commerzbank AGCommerzbankfinancial servicesinvestor protection violation2010UK-FSA£595,000
Winterflood Securities LimitedClose Brothers Group PLCfinancial servicesinvestor protection violation2010UK-FSA£4,052,500
Hythe Securities Limited investor protection violation2010UK-FSA£200,000
Kensington Mortgage Company Limited mortgage abuses2010UK-FSA£1,225,000
Credit Suisse Securities (Europe) Limited et al.UBSfinancial servicesinvestor protection violation2010UK-FSA£1,750,000
Getco Europe Limited investor protection violation2010UK-FSA£1,400,000
Instinet Europe LimitedNomurafinancial servicesinvestor protection violation2010UK-FSA£1,050,000
Robin Bradford (Life and Pension Consultants) Ltd investor protection violation2010UK-FSA£24,500
RSM Tenon Financial Services LimitedRSM Groupbusiness servicesinvestor protection violation2010UK-FSA£700,000
Direct Sharedeal Limited investor protection violation2010UK-FSA£101,500
Sett Valley Insurance Services investor protection violation2010UK-FSA£28,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCfinancial servicesinvestor protection violation2010UK-FSA£2,450,000
Fides Corporate Services Limited anti-money-laundering deficiencies2024UK-GFSC£140,000
Crescendo Advisors International Limited anti-money-laundering deficiencies2022UK-GFSC£203,000
Artemis Trustees Limited investor protection violation2022UK-GFSC£450,000
Hansard Limited anti-money-laundering deficiencies2021UK-GFSC£140,000
Safehaven International Limited anti-money-laundering deficiencies2020UK-GFSC£100,000
Global Insurance Group Limited insurance violation2020UK-GFSC£42,000
Standard Chartered Trust (Guernsey) Limited anti-money-laundering deficiencies2020UK-GFSC£140,000
Criteria Wealth Management Limited investor protection violation2020UK-GFSC£0
Louvre Fund Services Limited investor protection violation2020UK-GFSC£77,000
Certes Capital Limited (formerly Marlborough Pension Trustees Limited) investor protection violation2019UK-GFSC£0
Louvre Trust (Guernsey Limited) anti-money-laundering deficiencies2019UK-GFSC£70,000
Vida Financial Services Limited investor protection violation2019UK-GFSC£30,000
Richmond Fiduciary Group Limited anti-money-laundering deficiencies2018UK-GFSC£45,500
Blenheim Fiduciary Group Limited anti-money-laundering deficiencies2017UK-GFSC£70,000
Capital Solutions Limited investor protection violation2017UK-GFSC£0
Marlborough Trust Company Limited investor protection violation2016UK-GFSC£100,000
Louvre Fund Services Limited investor protection violation2016UK-GFSC£42,000
Bordeaux Services (Guernsey) Limited investor protection violation2016UK-GFSC£100,000
Provident Trustees (Guernsey) Limited anti-money-laundering deficiencies2016UK-GFSC£42,000
Guernsey Financial Consultants Limited investor protection violation2015UK-GFSC£42,000
Woodlock Financial Services (1998) Limited investor protection violation2015UK-GFSC£28,000
Guernsey Insurance Brokers Limited investor protection violation2014UK-GFSC£8,000
Ahli United Bank (UK) PLC anti-money-laundering deficiencies2014UK-GFSC£70,000
Willow Trust Limited anti-money-laundering deficiencies2014UK-GFSC£30,000
The Channel Islands Stock Exchange, LBG investor protection violation2014UK-GFSC£190,000
Generali Worldwide Insurance Company LimitedAssicurazioni Generalifinancial servicesinsurance violation2013UK-GFSC£150,000
Enigma Facilities Management Ltd tax violations2023UK-HMRC£1,409,450