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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 Type sort iconYearAgencyPenalty Amount
The Prudential Assurance Company LimitedM&G PLCfinancial servicesinvestor protection violation2019UK-FCA£23,875,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCfinancial servicesinvestor protection violation2019UK-FCA£30,792,500
Cathay International Holdings Limited investor protection violation2019UK-FCA£411,000
Linear Investments Limited investor protection violation2019UK-FCA£409,300
Goldman Sachs InternationalGoldman Sachsfinancial servicesinvestor protection violation2019UK-FCA£34,344,700
UBS AGUBSfinancial servicesinvestor protection violation2019UK-FCA£27,599,400
Interactive Brokers (UK)Interactive Brokers Groupfinancial servicesinvestor protection violation2018UK-FCA£1,049,412
Tejoori Limited investor protection violation2017UK-FCA£70,000
Merrill Lynch InternationalBank of Americafinancial servicesinvestor protection violation2017UK-FCA£34,524,000
Aviva Pension Trustees UK Limited and Aviva Wrap UK LimitedAviva PLCfinancial servicesinvestor protection violation2016UK-FCA£8,246,800
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
Merrill Lynch InternationalBank of Americafinancial servicesinvestor protection violation2015UK-FCA£13,285,900
The Bank of New York Mellon International Limited et al.Bank of New York Mellonfinancial servicesinvestor protection violation2015UK-FCA£126,000,000
Aviva Investors Global Services LimitedAviva PLCfinancial servicesinvestor protection violation2015UK-FCA£17,607,000
Reckitt Benckiser Group PlcReckitt Benckiserhousehold and personal care productsinvestor protection violation2015UK-FCA£539,800
Execution Noble & Company Limited investor protection violation2014UK-FCA£231,000
Chase de Vere Independent Financial Advisers LimitedSwiss Life Groupfinancial servicesinvestor protection violation2014UK-FCA£560,000
Sesame LimitedAviva PLCfinancial servicesinvestor protection violation2014UK-FCA£1,598,000
Barclays Bank plcBarclaysfinancial servicesinvestor protection violation2014UK-FCA£37,745,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2014UK-FCA£4,718,800
Credit Suisse InternationalUBSfinancial servicesinvestor protection violation2014UK-FCA£2,398,100
Yorkshire Building SocietyYorkshire Building Societyfinancial servicesinvestor protection violation2014UK-FCA£1,429,000
Barclays Bank plcBarclaysfinancial servicesinvestor protection violation2014UK-FCA£26,033,500
Invesco Asset Management Limited and Invesco Fund Managers LimitedInvescofinancial servicesinvestor protection violation2014UK-FCA£18,643,000
Santander UK plcBanco Santanderfinancial servicesinvestor protection violation2014UK-FCA£12,377,800
Besso LimitedArdonagh Groupfinancial servicesinvestor protection violation2014UK-FCA£315,000
Forex Capital Markets Ltd and FXCM Securities Ltd investor protection violation2014UK-FCA£4,000,000
State Street Bank Europe Limited and State Street Global Markets International LimitedState Street Corp.financial servicesinvestor protection violation2014UK-FCA£22,885,000
7722656 Canada Inc. investor protection violation2014UK-FCA£8,000,000
Lloyds Bank plc and Bank of Scotland plcLloyds Banking Groupfinancial servicesinvestor protection violation2013UK-FCA£28,038,800
Westwood Independent Financial Planners investor protection violation2013UK-FCA£100,000
SEI Investments (Europe) Limited investor protection violation2013UK-FCA£900,200
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2013UK-FCA£137,610,000
AXA Wealth Services LtdPhoenix Group Holdings PLCfinancial servicesinvestor protection violation2013UK-FCA£1,802,200
Aberdeen Asset Managers Limited and Aberdeen Fund Management LimitedAbrdn PLCfinancial servicesinvestor protection violation2013UK-FCA£7,192,500
The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V.NatWest Group PLCfinancial servicesinvestor protection violation2013UK-FCA£5,620,300
Sesame LimitedAviva PLCfinancial servicesinvestor protection violation2013UK-FCA£6,031,200
Xcap Securities PLC investor protection violation2013UK-FCA£120,900
J.P. Morgan International Bank LimitedJPMorgan Chasefinancial servicesinvestor protection violation2013UK-FCA£3,076,200
The Prudential Assurance Company LimitedM&G PLCfinancial servicesinvestor protection violation2013UK-FSA£16,000,000
Prudential plcPrudential PLCfinancial servicesinvestor protection violation2013UK-FSA£14,000,000
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
UBS AGUBSfinancial servicesinvestor protection violation2013UK-FSA£9,450,000
UBS AGUBSfinancial servicesinvestor protection violation2012UK-FSA£29,700,000
Savoy Investment Management Limited investor protection violation2012UK-FSA£412,000
Plus500UK LimitedPlus500 Limitedfinancial servicesinvestor protection violation2012UK-FSA£205,128
James Sharp and Company investor protection violation2012UK-FSA£49,000
Sun Life Assurance Company of Canada (UK) LimitedSun Life Financialfinancial servicesinvestor protection violation2012UK-FSA£600,000
Pi Financial Limited investor protection violation2012UK-FSA£58,300
Blackrock Investment Management (UK) LimitedBlackRockfinancial servicesinvestor protection violation2012UK-FSA£9,533,100
Mosley & Company investor protection violation2012UK-FSA£10,500
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
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