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Violation Tracker UK Parent Industry Summary Page

Parent Industry: financial services
Penalty Total since 2010: £6,101,494,397
Number of Cases: 720
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall.
Top 10 Parent CompaniesPenalty TotalNumber of Cases
UBS£849,972,77611
NatWest Group PLC£704,658,93132
Barclays£575,912,70429
Lloyds Banking Group£472,797,68148
Deutsche Bank£398,028,03817
JPMorgan Chase£397,317,4475
HSBC£362,536,15520
Citigroup£343,843,7628
Glencore£280,965,0922
Macquarie£234,834,450129

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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CompanyParentOffence TypeYear sort iconAgencyPenalty Amount
DB UK Bank Limited dba DB MortgagesDeutsche Bankmortgage abuses2010UK-FSA£2,340,000
Scottish Equitable PLCAegoninvestor protection violation2010UK-FSA£2,800,000
Goldman Sachs InternationalGoldman Sachsinvestor protection violation2010UK-FSA£17,500,000
Societe GeneraleSociete Generaleinvestor protection violation2010UK-FSA£1,575,000
Zurich Insurance PlcZurich Insuranceprivacy violation2010UK-FSA£2,275,000
The Royal Bank of Scotland plc et al.NatWest Group PLCanti-money-laundering deficiencies2010UK-FSA£5,600,000
Rowan Dartington & Co LimitedSt. James's Place PLCinvestor protection violation2010UK-FSA£511,000
Close Investments LimitedClose Brothers Group PLCinvestor protection violation2010UK-FSA£98,000
J.P. Morgan Securities Ltd.JPMorgan Chaseinvestor protection violation2010UK-FSA£33,320,000
Commerzbank AGCommerzbankinvestor protection violation2010UK-FSA£595,000
Winterflood Securities LimitedClose Brothers Group PLCinvestor protection violation2010UK-FSA£4,052,500
Credit Suisse Securities (Europe) Limited et al.UBSinvestor protection violation2010UK-FSA£1,750,000
Instinet Europe LimitedNomurainvestor protection violation2010UK-FSA£1,050,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCinvestor protection violation2010UK-FSA£2,450,000
Allianz Engineering Inspection Services LtdAllianzworkplace safety or health violation2010UK-HSE£14,232
MBNA Europe Bank LimitedLloyds Banking Groupconsumer protection violation2010UK-OFT£0
Alliance and Leicester Personal Finance LimitedBanco Santanderconsumer protection violation2010UK-OFT£0
American Express Services Europe LimitedAmerican Expressconsumer protection violation2010UK-OFT£0
Friends Provident Life and Pensions LimitedAviva PLCpension plan violation2010UK-TPO£12,706
Pearl Assurance LimitedPhoenix Group Holdings PLCpension plan violation2010UK-TPO£4,982
AvivaAviva PLCpension plan violation2010UK-TPO£250
Aviva Life Services UK LtdAviva PLCpension plan violation2010UK-TPO£0
Standard Life Assurance LimitedPhoenix Group Holdings PLCpension plan violation2010UK-TPO£0
Legal & General and Universities Superannuation Scheme Limited and Chevanstell Management LimitedLegal & General Group PLCpension plan violation2010UK-TPO£0
Friends Provident Life and Pensions LimitedAviva PLCpension plan violation2010UK-TPO£3,278
Countrywide Assured plcChesnara PLCpension plan violation2010UK-TPO£1,692
Scottish Widows plcLloyds Banking Grouppension plan violation2010UK-TPO£1,000
Sun Life Financial of CanadaSun Life Financialpension plan violation2010UK-TPO£250
Abbey Life Assurance Company LimitedPhoenix Group Holdings PLCpension plan violation2010UK-TPO£2,400
AEGON Scottish EquitableAegonpension plan violation2010UK-TPO£150
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2010UK-EA£5,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2010UK-EA£5,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2010UK-EA£3,000
Southern WaterMacquariewater pollution violation2010UK-DWI£31,447
Combined Insurance Company of AmericaChubb Limitedinsurance violation2011UK-FSA£2,800,000
Integrated Financial Arrangements plcIntegraFin Holdings PLCinvestor protection violation2011UK-FSA£3,500,000
HSBC Bank plcHSBCinvestor protection violation2011UK-FSA£10,500,000
Coutts & CompanyNatWest Group PLCinvestor protection violation2011UK-FSA£6,300,000
Credit Suisse (UK) LimitedUBSinvestor protection violation2011UK-FSA£5,950,000
Willis LimitedWillis Towers Watsonbribery2011UK-FSA£6,895,000
Bank of Scotland PlcLloyds Banking Groupinvestor protection violation2011UK-FSA£3,500,000
Norwich and Peterborough Building SocietyYorkshire Building Societyinvestor protection violation2011UK-FSA£1,400,000
Barclays Capital Securities LimitedBarclaysinvestor protection violation2011UK-FSA£1,127,559
Barclays Bank plcBarclaysinvestor protection violation2011UK-FSA£7,700,000
Royal Bank of Scotland Plc and National Westminster Bank PlcNatWest Group PLCconsumer protection violation2011UK-FSA£2,800,000
Aviva Insurance UK Ltd.Aviva PLCprice-fixing or anti-competitive practices2011UK-OFT£0
AXA Insurance UK plcAXAprice-fixing or anti-competitive practices2011UK-OFT£0
Liverpool Victoria Insurance Company LtdAllianzprice-fixing or anti-competitive practices2011UK-OFT£0
Zurich Insurance plcZurich Insuranceprice-fixing or anti-competitive practices2011UK-OFT£0
Barclays Bank plcBarclaysprice-fixing or anti-competitive practices2011UK-OFT£0
Royal Bank of Scotland Group plcNatWest Group PLCprice-fixing or anti-competitive practices2011UK-OFT£28,590,000
Abbey Life Assurance Company LimitedPhoenix Group Holdings PLCpension plan violation2011UK-TPO£350
AegonAegonpension plan violation2011UK-TPO£19,861
Phoenix Life LimitedPhoenix Group Holdings PLCpension plan violation2011UK-TPO£250
Royal Bank of Scotland GroupNatWest Group PLCpension plan violation2011UK-TPO£350
Standard Life Assurance LtdPhoenix Group Holdings PLCpension plan violation2011UK-TPO£1,689
Aviva Life Services UK LimitedAviva PLCpension plan violation2011UK-TPO£900
AEGON Scottish EquitableAegonpension plan violation2011UK-TPO£250
Standard Life Assurance LimitedPhoenix Group Holdings PLCpension plan violation2011UK-TPO£28,123
London LifePhoenix Group Holdings PLCpension plan violation2011UK-TPO£1,543
Scottish Equitable plcAegonpension plan violation2011UK-TPO£770
Aon HewittAonpension plan violation2011UK-TPO£250
AvivaAviva PLCpension plan violation2011UK-TPO£250
Aegon Scottish EquitableAegonpension plan violation2011UK-TPO£350
The Royal London Mutual Insurance Society LtdRoyal London Mutual Insurancepension plan violation2011UK-TPO£2,700
JLT Benefit Solutions Ltd (JLT)Marsh & McLennanpension plan violation2011UK-TPO£0
Mercer Ltd.Marsh & McLennanpension plan violation2011UK-TPO£100
Standard Life Assurance LtdPhoenix Group Holdings PLCpension plan violation2011UK-TPO£0
Scottish LifeRoyal London Mutual Insurancepension plan violation2011UK-TPO£500
AvivaAviva PLCpension plan violation2011UK-TPO£1,000
AvivaAviva PLCpension plan violation2011UK-TPO£1,000
PrudentialPrudential PLCpension plan violation2011UK-TPO£520
BlackRock Pensions LimitedBlackRockpension plan violation2011UK-TPO£250
Mercer Ltd.Marsh & McLennanpension plan violation2011UK-TPO£250
Mercer Human Resource Consulting plc (Mercer)Marsh & McLennanpension plan violation2011UK-TPO£5,750
The Prudential Assurance Company LimitedM&G PLCpension plan violation2011UK-TPO£483
Prudential Assurance Company LtdM&G PLCpension plan violation2011UK-TPO£500
ASSOCIATED WASTE MANAGEMENT LIMITEDMacquarieenvironmental violation2011UK-EA£14,000
ASSOCIATED WASTE MANAGEMENT LIMITEDMacquarieenvironmental violation2011UK-EA£5,000
ASSOCIATED WASTE MANAGEMENT LIMITEDMacquarieenvironmental violation2011UK-EA£5,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£35,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£15,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£6,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£0
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£5,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£20,000