| UBS AG | UBS | financial services | investor protection violation | 2019 | UK-FCA | £27,599,400 |
| Interactive Brokers (UK) | Interactive Brokers Group | financial services | investor protection violation | 2018 | UK-FCA | £1,049,412 |
| Tejoori Limited | | | investor protection violation | 2017 | UK-FCA | £70,000 |
| Merrill Lynch International | Bank of America | financial services | investor protection violation | 2017 | UK-FCA | £34,524,000 |
| Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited | Aviva PLC | financial services | investor protection violation | 2016 | UK-FCA | £8,246,800 |
| Cenkos Securities Plc | | | investor protection violation | 2016 | UK-FCA | £530,500 |
| W H Ireland Limited | | | investor protection violation | 2016 | UK-FCA | £1,200,000 |
| Threadneedle Asset Management Limited | | | investor protection violation | 2015 | UK-FCA | £6,038,504 |
| John Joseph Financial Services Limited | | | investor protection violation | 2015 | UK-FCA | £20,000 |
| Mineworld Limited | | | investor protection violation | 2015 | UK-FCA | £5,000,000 |
| Da Vinci Invest Limited | | | investor protection violation | 2015 | UK-FCA | £1,460,000 |
| Asia Resource Minerals plc fka Bumi plc | | | investor protection violation | 2015 | UK-FCA | £4,651,200 |
| Merrill Lynch International | Bank of America | financial services | investor protection violation | 2015 | UK-FCA | £13,285,900 |
| The Bank of New York Mellon International Limited et al. | Bank of New York Mellon | financial services | investor protection violation | 2015 | UK-FCA | £126,000,000 |
| Aviva Investors Global Services Limited | Aviva PLC | financial services | investor protection violation | 2015 | UK-FCA | £17,607,000 |
| Reckitt Benckiser Group Plc | Reckitt Benckiser | household and personal care products | investor protection violation | 2015 | UK-FCA | £539,800 |
| Execution Noble & Company Limited | | | investor protection violation | 2014 | UK-FCA | £231,000 |
| Chase de Vere Independent Financial Advisers Limited | Swiss Life Group | financial services | investor protection violation | 2014 | UK-FCA | £560,000 |
| Sesame Limited | Aviva PLC | financial services | investor protection violation | 2014 | UK-FCA | £1,598,000 |
| Barclays Bank plc | Barclays | financial services | investor protection violation | 2014 | UK-FCA | £37,745,000 |
| Deutsche Bank AG | Deutsche Bank | financial services | investor protection violation | 2014 | UK-FCA | £4,718,800 |
| Credit Suisse International | UBS | financial services | investor protection violation | 2014 | UK-FCA | £2,398,100 |
| Yorkshire Building Society | Yorkshire Building Society | financial services | investor protection violation | 2014 | UK-FCA | £1,429,000 |
| Barclays Bank plc | Barclays | financial services | investor protection violation | 2014 | UK-FCA | £26,033,500 |
| Invesco Asset Management Limited and Invesco Fund Managers Limited | Invesco | financial services | investor protection violation | 2014 | UK-FCA | £18,643,000 |
| Santander UK plc | Banco Santander | financial services | investor protection violation | 2014 | UK-FCA | £12,377,800 |
| Besso Limited | Ardonagh Group | financial services | investor protection violation | 2014 | UK-FCA | £315,000 |
| Forex Capital Markets Ltd and FXCM Securities Ltd | | | investor protection violation | 2014 | UK-FCA | £4,000,000 |
| State Street Bank Europe Limited and State Street Global Markets International Limited | State Street Corp. | financial services | investor protection violation | 2014 | UK-FCA | £22,885,000 |
| 7722656 Canada Inc. | | | investor protection violation | 2014 | UK-FCA | £8,000,000 |
| Lloyds Bank plc and Bank of Scotland plc | Lloyds Banking Group | financial services | investor protection violation | 2013 | UK-FCA | £28,038,800 |
| Westwood Independent Financial Planners | | | investor protection violation | 2013 | UK-FCA | £100,000 |
| SEI Investments (Europe) Limited | | | investor protection violation | 2013 | UK-FCA | £900,200 |
| JPMorgan Chase Bank N.A. | JPMorgan Chase | financial services | investor protection violation | 2013 | UK-FCA | £137,610,000 |
| AXA Wealth Services Ltd | Phoenix Group Holdings PLC | financial services | investor protection violation | 2013 | UK-FCA | £1,802,200 |
| Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited | Abrdn PLC | financial services | investor protection violation | 2013 | UK-FCA | £7,192,500 |
| The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V. | NatWest Group PLC | financial services | investor protection violation | 2013 | UK-FCA | £5,620,300 |
| Sesame Limited | Aviva PLC | financial services | investor protection violation | 2013 | UK-FCA | £6,031,200 |
| Xcap Securities PLC | | | investor protection violation | 2013 | UK-FCA | £120,900 |
| J.P. Morgan International Bank Limited | JPMorgan Chase | financial services | investor protection violation | 2013 | UK-FCA | £3,076,200 |
| The Prudential Assurance Company Limited | M&G PLC | financial services | investor protection violation | 2013 | UK-FSA | £16,000,000 |
| Prudential plc | Prudential PLC | financial services | investor protection violation | 2013 | UK-FSA | £14,000,000 |
| Care Asset Management Limited | | | investor protection violation | 2013 | UK-FSA | £56,000 |
| Lamprell plc | | | investor protection violation | 2013 | UK-FSA | £2,428,300 |
| Nestor Healthcare Group Limited | | | investor protection violation | 2013 | UK-FSA | £175,000 |
| UBS AG | UBS | financial services | investor protection violation | 2013 | UK-FSA | £9,450,000 |
| UBS AG | UBS | financial services | investor protection violation | 2012 | UK-FSA | £29,700,000 |
| Savoy Investment Management Limited | | | investor protection violation | 2012 | UK-FSA | £412,000 |
| Plus500UK Limited | Plus500 Limited | financial services | investor protection violation | 2012 | UK-FSA | £205,128 |
| James Sharp and Company | | | investor protection violation | 2012 | UK-FSA | £49,000 |
| Sun Life Assurance Company of Canada (UK) Limited | Sun Life Financial | financial services | investor protection violation | 2012 | UK-FSA | £600,000 |
| Pi Financial Limited | | | investor protection violation | 2012 | UK-FSA | £58,300 |
| Blackrock Investment Management (UK) Limited | BlackRock | financial services | investor protection violation | 2012 | UK-FSA | £9,533,100 |
| Mosley & Company | | | investor protection violation | 2012 | UK-FSA | £10,500 |
| Martin Currie Investment Management Limited and Martin Currie Inc | | | investor protection violation | 2012 | UK-FSA | £3,500,000 |
| Exillon Energy plc | | | investor protection violation | 2012 | UK-FSA | £292,950 |
| Accendo Markets Limited | | | investor protection violation | 2012 | UK-FSA | £56,000 |
| Christchurch Investment Management Limited | | | investor protection violation | 2012 | UK-FSA | £26,600 |
| Santander UK plc | Banco Santander | financial services | investor protection violation | 2012 | UK-FSA | £1,500,000 |
| Topps Rogers Financial Management | | | investor protection violation | 2012 | UK-FSA | £97,600 |
| Integrated Financial Arrangements plc | IntegraFin Holdings PLC | financial services | investor protection violation | 2011 | UK-FSA | £3,500,000 |
| HSBC Bank plc | HSBC | financial services | investor protection violation | 2011 | UK-FSA | £10,500,000 |
| McInroy & Wood Limited | | | investor protection violation | 2011 | UK-FSA | £15,050 |
| Coutts & Company | NatWest Group PLC | financial services | investor protection violation | 2011 | UK-FSA | £6,300,000 |
| Credit Suisse (UK) Limited | UBS | financial services | investor protection violation | 2011 | UK-FSA | £5,950,000 |
| Towry Investment Management Limited | | | investor protection violation | 2011 | UK-FSA | £494,900 |
| Rockingham Independent Limited | | | investor protection violation | 2011 | UK-FSA | £35,000 |
| Fox Hayes | | | investor protection violation | 2011 | UK-FSA | £454,770 |
| Bank of Scotland Plc | Lloyds Banking Group | financial services | investor protection violation | 2011 | UK-FSA | £3,500,000 |
| Norwich and Peterborough Building Society | Yorkshire Building Society | financial services | investor protection violation | 2011 | UK-FSA | £1,400,000 |
| Specialist Solutions plc | | | investor protection violation | 2011 | UK-FSA | £35,000 |
| ActivTrades Plc | | | investor protection violation | 2011 | UK-FSA | £85,750 |
| Cricket Hill Financial Planning Limited | | | investor protection violation | 2011 | UK-FSA | £70,000 |
| Barclays Capital Securities Limited | Barclays | financial services | investor protection violation | 2011 | UK-FSA | £1,127,559 |
| JJB Sports plc | | | investor protection violation | 2011 | UK-FSA | £455,000 |
| Perspective Financial Management Limited | | | investor protection violation | 2011 | UK-FSA | £49,000 |
| City Index Limited | | | investor protection violation | 2011 | UK-FSA | £490,000 |
| Barclays Bank plc | Barclays | financial services | investor protection violation | 2011 | UK-FSA | £7,700,000 |
| Scottish Equitable PLC | Aegon | financial services | investor protection violation | 2010 | UK-FSA | £2,800,000 |
| Thorntons Law LLP | | | investor protection violation | 2010 | UK-FSA | £35,000 |
| Goldman Sachs International | Goldman Sachs | financial services | investor protection violation | 2010 | UK-FSA | £17,500,000 |
| Moneywise IFA Limited | | | investor protection violation | 2010 | UK-FSA | £19,600 |
| Societe Generale | Societe Generale | financial services | investor protection violation | 2010 | UK-FSA | £1,575,000 |
| Photo-Me International plc | | | investor protection violation | 2010 | UK-FSA | £500,000 |
| N-Hanced LLP | | | investor protection violation | 2010 | UK-FSA | £21,000 |
| Vantage Capital Market LLP | | | investor protection violation | 2010 | UK-FSA | £700,000 |
| Rowan Dartington & Co Limited | St. James's Place PLC | financial services | investor protection violation | 2010 | UK-FSA | £511,000 |
| Close Investments Limited | Close Brothers Group PLC | financial services | investor protection violation | 2010 | UK-FSA | £98,000 |
| J.P. Morgan Securities Ltd. | JPMorgan Chase | financial services | investor protection violation | 2010 | UK-FSA | £33,320,000 |
| Atlantic Law LLP | | | investor protection violation | 2010 | UK-FSA | £200,000 |
| Commerzbank AG | Commerzbank | financial services | investor protection violation | 2010 | UK-FSA | £595,000 |
| Winterflood Securities Limited | Close Brothers Group PLC | financial services | investor protection violation | 2010 | UK-FSA | £4,052,500 |
| Hythe Securities Limited | | | investor protection violation | 2010 | UK-FSA | £200,000 |
| Credit Suisse Securities (Europe) Limited et al. | UBS | financial services | investor protection violation | 2010 | UK-FSA | £1,750,000 |
| Getco Europe Limited | | | investor protection violation | 2010 | UK-FSA | £1,400,000 |
| Instinet Europe Limited | Nomura | financial services | investor protection violation | 2010 | UK-FSA | £1,050,000 |
| Robin Bradford (Life and Pension Consultants) Ltd | | | investor protection violation | 2010 | UK-FSA | £24,500 |
| RSM Tenon Financial Services Limited | RSM Group | business services | investor protection violation | 2010 | UK-FSA | £700,000 |
| Direct Sharedeal Limited | | | investor protection violation | 2010 | UK-FSA | £101,500 |
| Sett Valley Insurance Services | | | investor protection violation | 2010 | UK-FSA | £28,000 |
| Standard Life Assurance Limited | Phoenix Group Holdings PLC | financial services | investor protection violation | 2010 | UK-FSA | £2,450,000 |
