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Violation Tracker UK Summary for Offence Group

Offence Group: financial offences
Penalty Total since 2010£3,567,641,668
Number of Penalty Cases: 3,019
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
Standard Chartered£169,185,0103
Deutsche Bank£168,635,0243
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 Type sort icon . YearAgencyPenalty Amount
Santander UK plcBanco Santanderfinancial servicesinvestor protection violation2012UK-FSA£1,500,000
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
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
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
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
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
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
Amazon.com Inc.Amazon.comretailinginvestor protection violation2020UK-CMA£55,000
PayPal Holdings, Inc. and PayPal (Europe) Sarl et Cie SCA and PayPal SEPayPal Holdingsfinancial servicesinvestor protection violation2019UK-CMA£250,000
Avacade Limited et al. investor protection violation2021UK-FCA£10,715,000
BDSwiss Holding Plc investor protection violation2021UK-FCA£0
Park First Limited et al. investor protection violation2021UK-FCA£25,000,000
GAM International Management LtdGAM Holding AGfinancial servicesinvestor protection violation2022UK-FCA£9,103,523
Sigma Broking Ltd. investor protection violation2022UK-FCA£531,000
Citigroup Global Markets LimitedCitigroupfinancial servicesinvestor protection violation2022UK-FCA£12,553,800
Carillion plc investor protection violation2022UK-FCA£0
BGC Brokers LP and GFI Brokers Ltd and GFI Securities Ltd investor protection violation2022UK-FCA£4,775,200
Pembrokeshire Mortgage Centre Limited investor protection violation2022UK-FCA£2,354,331
Julius Baer International LimitedJulius Baer Groupfinancial servicesinvestor protection violation2022UK-FCA£18,022,500
Artemis Trustees Limited investor protection violation2022UK-GFSC£450,000
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
Vida Financial Services Limited investor protection violation2019UK-GFSC£30,000
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
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
The Channel Islands Stock Exchange, LBG investor protection violation2014UK-GFSC£190,000
Synergy Land Group Limited investor protection violation2023UK-FCA£27,000
24HR Trading Academy Ltd. investor protection violation2023UK-FCA£106,650
Lighthouse Advisory Services Limited investor protection violation2023UK-FCA£23,610,000
Island Financial Solutions Limited investor protection violation2020UK-IOM£62,996
Lloyds Bank plc and Bank of Scotland plc and The Mortgage Business plcLloyds Banking Groupfinancial servicesmortgage abuses2020UK-FCA£64,046,800
Yorkshire Building SocietyYorkshire Building Societyfinancial servicesmortgage abuses2014UK-FCA£4,135,600
The Royal Bank of Scotland plc and National Westminster Bank PlcNatWest Group PLCfinancial servicesmortgage abuses2014UK-FCA£14,474,600
Cheshire Mortgage Corporation Limited mortgage abuses2012UK-FSA£1,225,000
Lewis Partnership mortgage abuses2011UK-FSA£106,499
Swift 1st Limited mortgage abuses2011UK-FSA£630,000
DB UK Bank Limited dba DB MortgagesDeutsche Bankfinancial servicesmortgage abuses2010UK-FSA£840,000
Property Park Mortgages mortgage abuses2010UK-FSA£104,294
Bridging Loans Ltd mortgage abuses2010UK-FSA£42,000
Redstone Mortgages Limited mortgage abuses2010UK-FSA£630,000
Kensington Mortgage Company Limited mortgage abuses2010UK-FSA£1,225,000
Shelby Finance Limited payday lending violation2020UK-CMA£527,863
Wonga.com Ltd. payday lending violation2012UK-OFT£0
Safeloans Ltd. dba Paydayok payday lending violation2010UK-OFT£0
CIM Technologies Ltd. dba Tooth Fairy Finance payday lending violation2010UK-OFT£0
Tesco Personal Finance plcTesco PLCretailingprivacy violation2018UK-FCA£16,400,000
Goldman Sachs InternationalGoldman Sachsfinancial servicesrisk management failure2020UK-PRA£48,308,400
R. Raphael & Sons plc risk management failure2019UK-PRA£1,112,152
ED&F Man Capital Markets Ltd tax violation2023UK-FCA£17,219,300
Shenzhen Qiao Zhuo E-Commerce Ltd tax violations2019UK-HMRC£1,411,508
Data Market Group Ltd tax violations2019UK-HMRC£531,004
eDistribute Ltd tax violations2019UK-HMRC£470,757
Albert Spratt Construction tax violations2019UK-HMRC£455,854
Sosia Constructions UK Ltd tax violations2019UK-HMRC£454,201
William Firth & Son Limited tax violations2019UK-HMRC£423,339
Alppa Pan tax violations2019UK-HMRC£291,155
Golden 77 Limited tax violations2019UK-HMRC£281,451
Allyan Ltd dba Canton Cuisine tax violations2019UK-HMRC£249,339
AWM Accountant and Tax Advisors tax violations2019UK-HMRC£244,445