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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 IndustryOffence TypeYear sort iconAgencyPenalty Amount
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
DB UK Bank Limited dba DB MortgagesDeutsche Bankfinancial servicesmortgage abuses2010UK-FSA£2,340,000
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
Safeloans Ltd. dba Paydayok payday lending violation2010UK-OFT£0
CIM Technologies Ltd. dba Tooth Fairy Finance payday lending violation2010UK-OFT£0