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Violation Tracker UK Parent Industry Summary Page

Parent Industry: financial services
Penalty Total since 2010: £5,711,528,598
Number of Cases: 615
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£762,890,77610
NatWest Group PLC£703,650,59431
Barclays£535,912,70426
Lloyds Banking Group£472,324,03344
JPMorgan Chase£397,317,4475
Deutsche Bank£396,935,0245
HSBC£298,838,55517
Citigroup£282,197,5626
Glencore£280,965,0922
Macquarie£221,051,53091

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 TypeYearAgencyPenalty Amount sort icon .
Liberty Mutual Insurance Europe SELiberty Mutual Insuranceinsurance violation2018UK-FCA£5,280,800
Deutsche Bank AGDeutsche Bankinvestor protection violation2014UK-FCA£4,718,800
Lloyds Banking GroupLloyds Banking Groupconsumer protection violation2013UK-FCA£4,315,000
Bank of ScotlandLloyds Banking Groupconsumer protection violation2012UK-FSA£4,200,000
Yorkshire Building SocietyYorkshire Building Societymortgage abuses2014UK-FCA£4,135,600
Winterflood Securities LimitedClose Brothers Group PLCinvestor protection violation2010UK-FSA£4,052,500
Integrated Financial Arrangements plcIntegraFin Holdings PLCinvestor protection violation2011UK-FSA£3,500,000
Bank of Scotland PlcLloyds Banking Groupinvestor protection violation2011UK-FSA£3,500,000
J.P. Morgan International Bank LimitedJPMorgan Chaseinvestor protection violation2013UK-FCA£3,076,200
Combined Insurance Company of AmericaChubb Limitedinsurance violation2011UK-FSA£2,800,000
Royal Bank of Scotland Plc and National Westminster Bank PlcNatWest Group PLCconsumer protection violation2011UK-FSA£2,800,000
Scottish Equitable PLCAegoninvestor protection violation2010UK-FSA£2,800,000
Moneybarn LtdProvident Financial PLCconsumer protection violation2020UK-FCA£2,774,400
Standard Life Assurance LimitedPhoenix Group Holdings PLCinvestor protection violation2010UK-FSA£2,450,000
Credit Suisse InternationalUBSinvestor protection violation2014UK-FCA£2,398,100
DB UK Bank Limited dba DB MortgagesDeutsche Bankmortgage abuses2010UK-FSA£2,340,000
Zurich Insurance PlcZurich Insuranceprivacy violation2010UK-FSA£2,275,000
Royal Bank of Scotland GroupNatWest Group PLCbanking violation2020UK-CMA£2,200,000
UK Insurance LimitedDirect Line Insurance Group PLCinsurance violation2012UK-FSA£2,170,000
BNP Paribas London BranchBNP Paribaslabour standards violation2019UK-ET£2,081,449
Nationwide Building SocietyNationwide Building Societyinsurance violation2019UK-CMA£2,000,000
Southern Water Services LimitedMacquarieenvironmental violation2016UK-EA£2,000,000
JLT Specialty LimitedMarsh & McLennaninsurance violation2013UK-FCA£1,876,000
Henderson Investment Funds Ltd.Janus Hendersoninvestor protection violation2019UK-FCA£1,867,900
National Westminster Bank Plc et al.NatWest Group PLCconsumer protection violation2022UK-PSR£1,820,000
AXA Wealth Services LtdPhoenix Group Holdings PLCinvestor protection violation2013UK-FCA£1,802,200
Credit Suisse Securities (Europe) Limited et al.UBSinvestor protection violation2010UK-FSA£1,750,000
Sesame LimitedAviva PLCinvestor protection violation2014UK-FCA£1,598,000
Societe GeneraleSociete Generaleinvestor protection violation2010UK-FSA£1,575,000
Santander UK plcBanco Santanderinvestor protection violation2012UK-FSA£1,500,000
Royal Bank of Scotland GroupNatWest Group PLCinsurance violation2019UK-CMA£1,500,000
Yorkshire Building SocietyYorkshire Building Societyinvestor protection violation2014UK-FCA£1,429,000
Norwich and Peterborough Building SocietyYorkshire Building Societyinvestor protection violation2011UK-FSA£1,400,000
J P Morgan Securities plcJPMorgan Chaselabour standards violation2021UK-ET£1,145,247
Barclays Capital Securities LimitedBarclaysinvestor protection violation2011UK-FSA£1,127,559
Royal Bank of CanadaRoyal Bank of Canadalabour standards violation2021UK-ET£1,112,956
Instinet Europe LimitedNomurainvestor protection violation2010UK-FSA£1,050,000
Interactive Brokers (UK)Interactive Brokers Groupinvestor protection violation2018UK-FCA£1,049,412
BarclaysBarclaysconsumer protection violation2022UK-CMA£1,000,000
Lloyds Banking Group plcLloyds Banking Groupinsurance violation2021UK-CMA£957,000
Barclays Services LtdBarclayslabour standards violation2019UK-ET£947,585
Nationwide Building SocietyNationwide Building Societybanking violation2020UK-CMA£900,000
Sunrise Brokers LLPBGC Partnersanti-money-laundering deficiencies2021UK-FCA£642,400
Sun Life Assurance Company of Canada (UK) LimitedSun Life Financialinvestor protection violation2012UK-FSA£600,000
NatWest Group plcNatWest Group PLCconsumer protection violation2022UK-CMA£600,000
Commerzbank AGCommerzbankinvestor protection violation2010UK-FSA£595,000
Chase de Vere Independent Financial Advisers LimitedSwiss Life Groupinvestor protection violation2014UK-FCA£560,000
Southern Water Services LtdMacquarieenvironmental violation2017UK-DWI£530,000
Guaranty Trust Bank (UK) LimitedGuaranty Trust Bank PLCanti-money-laundering deficiencies2013UK-FCA£525,000
Rowan Dartington & Co LimitedSt. James's Place PLCinvestor protection violation2010UK-FSA£511,000
Southern Water Services LtdMacquarieenvironmental violation2014UK-EA£500,000
Lloyds Bank Corporate Markets PlcLloyds Banking Groupanti-money-laundering deficiencies2022UK-JFSC£498,000
Besso LimitedBGC Partnersinvestor protection violation2014UK-FCA£315,000
Commerzbank AGCommerzbanklabour standards violation2022UK-ET£300,684
PayPal Holdings, Inc. and PayPal (Europe) Sarl et Cie SCA and PayPal SEPayPal Holdingsinvestor protection violation2019UK-CMA£250,000
Suez Recycling and Recovery Tees Valley LtdMacquarieworkplace safety or health violation2014UK-HSE£232,696
Suez Recycling and Recovery UK LtdMacquarieworkplace safety or health violation2014UK-HSE£211,998
Plus500UK LimitedPlus500 Limitedinvestor protection violation2012UK-FSA£205,128
SOUTHERN WATER SERVICES LTDMacquarieenvironmental violation2013UK-EA£200,000
Commerzbank AGCommerzbanklabour standards violation2022UK-ET£185,719
Suez Recycling and Recovery UK LtdMacquarieworkplace safety or health violation2016UK-HSE£176,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2015UK-EA£160,000
Royal & Sun Alliance Insurance PLCIntact Financial Corporationprivacy violation2017UK-ICO£150,000
Generali Worldwide Insurance Company LimitedAssicurazioni Generaliinsurance violation2013UK-GFSC£150,000
The Co-operative Bank plcCo-operative Bankconsumer protection violation2013UK-FSA£113,300
Southern Water Services LtdMacquarieenvironmental violation2018UK-DWI£109,620
Citibank N.A.Citigrouplabour standards violation2017UK-ET£103,335
Suez Recycling and Recovery UK LimitedMacquarieenvironmental violation2018UK-EA£101,700
SUEZ Recycling and Recovery Southern LimitedMacquarieenvironmental violation2020UK-EA£100,000
Close Investments LimitedClose Brothers Group PLCinvestor protection violation2010UK-FSA£98,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£96,000
American Express Services Europe LimitedAmerican Expressprivacy violation2021UK-ICO£90,000
National Westminster Bank plcNatWest Group PLClabour standards violation2023UK-ET£87,699
Lloyds Bank plcLloyds Banking Grouplabour standards violation2022UK-ET£84,419
Provident Personal Credit LtdProvident Financial PLCprivacy violation2017UK-ICO£80,000
Citibank N.ACitigrouplabour standards violation2020UK-ET£75,427
Vanquis Bank LimitedProvident Financial PLCprivacy violation2017UK-ICO£75,000
Bank of ScotlandLloyds Banking Groupprivacy violation2013UK-ICO£75,000
Tullett Prebon GroupTP ICAP PLClabour standards violation2019UK-ET£69,682
Southern Water Services LtdMacquarieenvironmental violation2022UK-DWI£65,571
Direct Line Insurance Services LtdDirect Line Insurance Group PLClabour standards violation2023UK-ET£64,645
AONAonpension plan violation2013UK-TPO£54,850
Lloyds Bank PlcLloyds Banking Grouplabour standards violation2017UK-ET£53,922
PrudentialPrudential PLCprivacy violation2012UK-ICO£50,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2012UK-EA£50,000
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£50,000
HBOS PlcLloyds Banking Grouplabour standards violation2019UK-ET£49,457
EUI LtdAdmiral Grouplabour standards violation2019UK-ET£40,000
Southern Water Services LtdMacquarieenvironmental violation2014UK-EA£40,000
Scottish Widows plcLloyds Banking Grouppension plan violation2015UK-TPO£37,067
DL Insurance Services LtdDirect Line Insurance Group PLClabour standards violation2020UK-ET£36,998
SOUTHERN WATER SERVICES LIMITEDMacquarieenvironmental violation2011UK-EA£35,000
Scottish LifeRoyal London Mutual Insurancepension plan violation2013UK-TPO£34,977
Southern WaterMacquarieenvironmental violation2010UK-DWI£31,447
Neovia Logistics Services (UK) LimitedGoldman Sachslabour standards violation2017UK-ET£30,000
BNP Paribas Real Estate Advisory and Property Management UK LimitedBNP Paribasenvironmental violation2019UK-EA£30,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCpension plan violation2011UK-TPO£28,123
Chubb Fire LtdChubb Limitedlabour standards violation2022UK-ET£27,719
Southern WaterMacquarieenvironmental violation2012UK-DWI£26,498
Willis Towers WatsonWillis Towers Watsonpension plan violation2020UK-TPO£25,522
Southern Water Services LimitedMacquarieenvironmental violation2019UK-EA£25,000