| DB UK Bank Limited dba DB Mortgages | Deutsche Bank | financial services | mortgage abuses | 2010 | UK-FSA | £2,340,000 |
| Scottish Equitable PLC | Aegon | financial services | investor protection violation | 2010 | UK-FSA | £2,800,000 |
| Property Park Mortgages | | | mortgage abuses | 2010 | UK-FSA | £104,294 |
| Bridging Loans Ltd | | | mortgage abuses | 2010 | UK-FSA | £42,000 |
| 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 |
| The Royal Bank of Scotland plc et al. | NatWest Group PLC | financial services | anti-money-laundering deficiencies | 2010 | UK-FSA | £5,600,000 |
| Redstone Mortgages Limited | | | mortgage abuses | 2010 | UK-FSA | £630,000 |
| 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 |
| Alpari (UK) Limited | | | anti-money-laundering deficiencies | 2010 | UK-FSA | £140,000 |
| 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 |
| Kensington Mortgage Company Limited | | | mortgage abuses | 2010 | UK-FSA | £1,225,000 |
| 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 |
| Safeloans Ltd. dba Paydayok | | | payday lending violation | 2010 | UK-OFT | £0 |
| CIM Technologies Ltd. dba Tooth Fairy Finance | | | payday lending violation | 2010 | UK-OFT | £0 |
