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Violation Tracker UK Summary for Offence Group

Offence Group: financial offences
Penalty Total since 2010: £3,682,418,877
Number of Penalty Cases: 3,240
Note: Includes records/cases without monetary penalties.
Top 10 Parent CompaniesTotal PenaltyNumber of Cases
UBS£369,056,7767
NatWest Group PLC£363,717,5199
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 icon . Penalty Amount
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
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2019UK-FRC£422,500
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2020UK-FRC£455,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2020UK-FRC£0
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2020UK-FRC£1,950,000
BDO LLPBDO Internationalbusiness servicesaccounting fraud or deficiencies2020UK-FRC£160,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2020UK-FRC£20,635,014
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2020UK-FRC£362,500
Haysmacintyre LLP accounting fraud or deficiencies2021UK-FRC£70,000
UHY Hacker Young LLPUHY Hacker Youngbusiness servicesaccounting fraud or deficiencies2021UK-FRC£0
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2021UK-FRC£15,450,000
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2019UK-FRC£3,500,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2019UK-FRC£4,525,000
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2019UK-FRC£4,500,000
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2019UK-FRC£6,000,000
Baker Tilly UK Audit LLPRSM Groupbusiness servicesaccounting fraud or deficiencies2019UK-FRC£750,000
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2018UK-FRC£3,165,000
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2018UK-FRC£2,212,000
PriceWaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2018UK-FRC£10,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2018UK-FRC£3,296,000
Arrandco Audit Ltd. accounting fraud or deficiencies2018UK-FRC£790,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2017UK-FRC£2,025,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017UK-FRC£5,600,000
PwC LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017UK-FRC£5,000,000
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2017UK-FRC£2,475,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2016UK-FRC£6,275,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2016UK-FRC£3,050,000
Moore Stephens (NI) LLP accounting fraud or deficiencies2016UK-FRC£140,000
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015UK-FRC£1,060,000
Deloitte & ToucheDeloittebusiness servicesaccounting fraud or deficiencies2015UK-FRC£3,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2015UK-FRC£227,500
KPMG Audit PlcKPMGbusiness servicesaccounting fraud or deficiencies2015UK-FRC£162,500
Sixonethreeone Limited accounting fraud or deficiencies2014UK-FRC£450,000
Mazars LLPMazars LLPbusiness servicesaccounting fraud or deficiencies2014UK-FRC£1,870,000
RSM Robson Rhodes LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2011UK-FRC£975,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2019UK-FRC£4,550,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2021UK-FRC£2,205,000
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2021UK-FRC£2,340,000
Mazars LLPMazars LLPbusiness servicesaccounting fraud or deficiencies2022UK-FRC£250,000
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2021UK-FRC£1,186,030
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£944,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£3,010,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£0
Mazars LLPMazars LLPbusiness servicesaccounting fraud or deficiencies2022UK-FRC£250,000
Grant Thornton UK LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2022UK-FRC£1,323,875
UHY Hacker Young LLPUHY Hacker Youngbusiness servicesaccounting fraud or deficiencies2022UK-FRC£217,500
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2022UK-FRC£1,959,750
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2022UK-FRC£3,038,750
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2022UK-FRC£3,375,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2022UK-FRC£1,450,000