Redstone Mortgages Limited | | | mortgage abuses | 2010 | UK-FSA | £630,000 |
Kensington Mortgage Company Limited | | | mortgage abuses | 2010 | UK-FSA | £1,225,000 |
NMC Health Plc | | | investor protection violation | 2023 | UK-FCA | £0 |
Inspirational Financial Management Ltd | | | investor protection violation | 2024 | UK-FCA | £897,840 |
Argento Wealth Ltd | | | investor protection violation | 2024 | UK-FCA | £1,600,000 |
Link Fund Solutions | | | investor protection violation | 2024 | UK-FCA | £298,404,919 |
BDSwiss Holding Plc | | | investor protection violation | 2021 | UK-FCA | £0 |
Avacade Future Solutions et al. | | | investor protection violation | 2021 | UK-FCA | £0 |
Charles Schwab UK Ltd. | Charles Schwab Corp. | financial services | investor protection violation | 2020 | UK-FCA | £8,963,200 |
LJ Financial Planning Ltd. | | | investor protection violation | 2020 | UK-FCA | £107,200 |
TFS-ICAP Ltd. | | | investor protection violation | 2020 | UK-FCA | £3,444,100 |
Goldman Sachs International | Goldman Sachs | financial services | investor protection violation | 2020 | UK-FCA | £48,308,400 |
Asia Research and Capital Management Ltd. | | | investor protection violation | 2020 | UK-FCA | £873,118 |
Henderson Investment Funds Ltd. | Janus Henderson | financial services | investor protection violation | 2019 | UK-FCA | £1,867,900 |
Tullett Prebon (Europe) Limited | TP ICAP PLC | financial services | investor protection violation | 2019 | UK-FCA | £15,400,000 |
The Prudential Assurance Company Limited | M&G PLC | financial services | investor protection violation | 2019 | UK-FCA | £23,875,000 |
Standard Life Assurance Limited | Phoenix Group Holdings PLC | financial services | investor protection violation | 2019 | UK-FCA | £30,792,500 |
Cathay International Holdings Limited | | | investor protection violation | 2019 | UK-FCA | £411,000 |
Linear Investments Limited | | | investor protection violation | 2019 | UK-FCA | £409,300 |
Goldman Sachs International | Goldman Sachs | financial services | investor protection violation | 2019 | UK-FCA | £34,344,700 |
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 |