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Violation Tracker UK Summary for Offence Group
Offence Group: financial offences
Penalty Total since 2010: £4,167,390,200
Number of Penalty Cases: 3,832
Note: Includes records/cases without monetary penalties.
Top 10 Parent Companies | Total Penalty | Number of Cases |
UBS | £456,138,776 | 8 |
NatWest Group PLC | £364,725,856 | 10 |
JPMorgan Chase | £174,006,200 | 3 |
Banco Santander | £173,488,900 | 6 |
Deutsche Bank | £170,135,024 | 3 |
Standard Chartered | £169,185,010 | 3 |
Lloyds Banking Group | £149,343,600 | 9 |
Goldman Sachs | £148,461,500 | 4 |
Tesco PLC | £148,400,000 | 2 |
Barclays | £144,677,369 | 6 |
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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Company | Parent | Parent Major Industry | Offence Type | Year | Agency | Penalty Amount |
BGC Brokers LP and GFI Brokers Ltd and GFI Securities Ltd | | | investor protection violation | 2022 | UK-FCA | £4,775,200 |
Pembrokeshire Mortgage Centre Limited | | | investor protection violation | 2022 | UK-FCA | £2,354,331 |
Julius Baer International Limited | Julius Baer Group | financial services | investor protection violation | 2022 | UK-FCA | £18,022,500 |
Al Rayan Bank PLC | | | anti-money-laundering deficiencies | 2023 | UK-FCA | £4,023,600 |
Guaranty Trust Bank (UK) Limited | Guaranty Trust Bank PLC | financial services | anti-money-laundering deficiencies | 2023 | UK-FCA | £7,671,800 |
TSB Bank plc | Banco de Sabadell | financial services | internal controls deficiency | 2022 | UK-FCA | £29,750,000 |
ED&F Man Capital Markets Ltd | | | tax violations | 2023 | UK-FCA | £17,219,300 |
Synergy Land Group Limited | | | investor protection violation | 2023 | UK-FCA | £27,000 |
24HR Trading Academy Ltd. | | | investor protection violation | 2023 | UK-FCA | £106,650 |
Lighthouse Advisory Services Limited | | | investor protection violation | 2023 | UK-FCA | £23,610,000 |
Bastion Capital London Limited | | | anti-money-laundering deficiencies | 2023 | UK-FCA | £2,452,700 |
ADM Investor Services International Limited | Archer Daniels Midland | agribusiness | anti-money-laundering deficiencies | 2023 | UK-FCA | £6,470,600 |
Danske Bank | Danske Bank | financial services | banking violation | 2021 | UK-CMA | £0 |
Clydesdale Bank plc | Virgin Money UK PLC | financial services | banking violation | 2021 | UK-CMA | £0 |
AIB Group (UK) plc | Allied Irish Banks | financial services | banking violation | 2020 | UK-CMA | £0 |
Lloyds Banking Group plc | Lloyds Banking Group | financial services | banking violation | 2020 | UK-CMA | £0 |
Amazon.com Inc. | Amazon.com | retailing | investor protection violation | 2020 | UK-CMA | £55,000 |
Shelby Finance Limited | | | payday lending violation | 2020 | UK-CMA | £527,863 |
Royal Bank of Scotland Group | NatWest Group PLC | financial services | banking violation | 2020 | UK-CMA | £2,200,000 |
Metro Bank plc | Metro Bank PLC | financial services | banking violation | 2020 | UK-CMA | £11,400,000 |
Nationwide Building Society | Nationwide Building Society | financial services | banking violation | 2020 | UK-CMA | £900,000 |
Santander UK plc | Banco Santander | financial services | banking violation | 2019 | UK-CMA | £19,000,000 |
HSBC Bank plc | HSBC | financial services | banking violation | 2019 | UK-CMA | £8,000,000 |
PayPal Holdings, Inc. and PayPal (Europe) Sarl et Cie SCA and PayPal SE | PayPal Holdings | financial services | investor protection violation | 2019 | UK-CMA | £250,000 |
Nationwide Building Society | Nationwide Building Society | financial services | banking violation | 2019 | UK-CMA | £6,000,000 |
Barclays Bank UK plc and Barclays Bank plc | Barclays | financial services | banking violation | 2019 | UK-CMA | £1,910 |
AIB Group (UK) plc dba First Trust Bank | Allied Irish Banks | financial services | banking violation | 2014 | UK-CMA | £0 |
HSBC Bank plc | HSBC | financial services | banking violation | 2014 | UK-CMA | £0 |
Danske Bank | Danske Bank | financial services | banking violation | 2021 | UK-CMA | £0 |
Lloyds Banking Group | Lloyds Banking Group | financial services | banking violation | 2021 | UK-CMA | £0 |
Santander UK plc | Banco Santander | financial services | banking violation | 2021 | UK-CMA | £0 |
Lloyds Banking Group | Lloyds Banking Group | financial services | banking violation | 2021 | UK-CMA | £0 |