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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 Industry sort iconOffence TypeYearAgencyPenalty Amount
Linear Investments Limited investor protection violation2019UK-FCA£409,300
Hargreave Hale Ltd insider trading2019UK-FCA£306,300
River and Mercantile Asset Management LLP insider trading2019UK-FCA£108,600
Canara Bank anti-money-laundering deficiencies2018UK-FCA£896,100
Tejoori Limited investor protection violation2017UK-FCA£70,000
Sonali Bank (UK) Limited anti-money-laundering deficiencies2016UK-FCA£3,250,600
Cenkos Securities Plc investor protection violation2016UK-FCA£530,500
W H Ireland Limited investor protection violation2016UK-FCA£1,200,000
Threadneedle Asset Management Limited investor protection violation2015UK-FCA£6,038,504
John Joseph Financial Services Limited investor protection violation2015UK-FCA£20,000
Mineworld Limited investor protection violation2015UK-FCA£5,000,000
Da Vinci Invest Limited investor protection violation2015UK-FCA£1,460,000
Asia Resource Minerals plc fka Bumi plc investor protection violation2015UK-FCA£4,651,200
Bank of Beirut (UK) Ltd anti-money-laundering deficiencies2015UK-FCA£2,100,000
Execution Noble & Company Limited investor protection violation2014UK-FCA£231,000
Forex Capital Markets Ltd and FXCM Securities Ltd investor protection violation2014UK-FCA£4,000,000
7722656 Canada Inc. investor protection violation2014UK-FCA£8,000,000
Westwood Independent Financial Planners investor protection violation2013UK-FCA£100,000
SEI Investments (Europe) Limited investor protection violation2013UK-FCA£900,200
Xcap Securities PLC investor protection violation2013UK-FCA£120,900
Haysmacintyre LLP accounting fraud or deficiencies2021UK-FRC£70,000
Arrandco Audit Ltd. accounting fraud or deficiencies2018UK-FRC£790,000
Moore Stephens (NI) LLP accounting fraud or deficiencies2016UK-FRC£140,000
Sixonethreeone Limited accounting fraud or deficiencies2014UK-FRC£450,000
EFG Private Bank Ltd anti-money-laundering deficiencies2013UK-FSA£4,200,000
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
Cheshire Mortgage Corporation Limited mortgage abuses2012UK-FSA£1,225,000
Savoy Investment Management Limited investor protection violation2012UK-FSA£412,000
James Sharp and Company investor protection violation2012UK-FSA£49,000
Pi Financial Limited investor protection violation2012UK-FSA£58,300
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
Greenlight Capital Inc. insider trading2012UK-FSA£3,650,795
Topps Rogers Financial Management investor protection violation2012UK-FSA£97,600
McInroy & Wood Limited investor protection violation2011UK-FSA£15,050
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
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
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
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
Moneywise IFA Limited investor protection violation2010UK-FSA£19,600
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
Atlantic Law LLP investor protection violation2010UK-FSA£200,000
Alpari (UK) Limited anti-money-laundering deficiencies2010UK-FSA£140,000
Hythe Securities Limited investor protection violation2010UK-FSA£200,000
Kensington Mortgage Company Limited mortgage abuses2010UK-FSA£1,225,000
Getco Europe Limited investor protection violation2010UK-FSA£1,400,000
Robin Bradford (Life and Pension Consultants) Ltd investor protection violation2010UK-FSA£24,500
Direct Sharedeal Limited investor protection violation2010UK-FSA£101,500
Sett Valley Insurance Services investor protection violation2010UK-FSA£28,000
Shelby Finance Limited payday lending violation2020UK-CMA£527,863
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
Deluxe Printers Ltd tax violations2019UK-HMRC£243,278
Haweli Twyford Ltd tax violations2019UK-HMRC£240,095
MDistribution Limited dba Milano Pizza tax violations2019UK-HMRC£179,261
Elite-Energy Recruitment Ltd tax violations2019UK-HMRC£168,521
Einvoicing Limited fka UK Express Delivery Limited tax violations2019UK-HMRC£127,379
Bilston High Street Fish Bar Ltd tax violations2019UK-HMRC£113,020
Beycafe Ltd dba Frenchgate Cafe tax violations2019UK-HMRC£112,984
Rocco Fashion Limited tax violations2019UK-HMRC£109,231
Carr's BK Ltd tax violations2019UK-HMRC£105,395
Liu Tang Ltd dba Sukho Fine Thai Cuisine tax violations2019UK-HMRC£98,302
Newhold Limited tax violations2019UK-HMRC£86,988
FM Software Ltd tax violations2019UK-HMRC£86,139
Olympus Eyewear Europe Ltd tax violations2019UK-HMRC£85,766
Porton Biopharma Limited tax violations2019UK-HMRC£80,361
Tandoor Mahal (Maidstone) Ltd tax violations2019UK-HMRC£72,757
Carlane Construction Ltd tax violations2019UK-HMRC£69,389
A Hamilton Construction Ltd tax violations2019UK-HMRC£68,998
Camac Engineering Ltd tax violations2019UK-HMRC£64,660
Orbit Hosting Ltd tax violations2019UK-HMRC£64,032
M P Pizza Ltd tax violations2019UK-HMRC£61,786
J J Timisoreana Ltd tax violations2019UK-HMRC£61,411