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Violation Tracker UK Parent Industry Summary Page

Parent Industry: financial services
Penalty Total since 2010: £5,859,335,625
Number of Cases: 688
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£703,650,59431
Barclays£535,912,70426
Lloyds Banking Group£472,797,68146
Deutsche Bank£397,989,24416
JPMorgan Chase£397,317,4475
HSBC£356,256,05518
Citigroup£282,197,5626
Glencore£280,965,0922
Macquarie£221,803,050127

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 Type sort iconYearAgencyPenalty Amount
The Prudential Assurance Company LimitedM&G PLCinvestor protection violation2013UK-FSA£16,000,000
Prudential plcPrudential PLCinvestor protection violation2013UK-FSA£14,000,000
UBS AGUBSinvestor protection violation2013UK-FSA£9,450,000
UBS AGUBSinvestor protection violation2012UK-FSA£29,700,000
Plus500UK LimitedPlus500 Limitedinvestor protection violation2012UK-FSA£205,128
Sun Life Assurance Company of Canada (UK) LimitedSun Life Financialinvestor protection violation2012UK-FSA£600,000
Blackrock Investment Management (UK) LimitedBlackRockinvestor protection violation2012UK-FSA£9,533,100
Santander UK plcBanco Santanderinvestor protection violation2012UK-FSA£1,500,000
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
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
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
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
PayPal Holdings, Inc. and PayPal (Europe) Sarl et Cie SCA and PayPal SEPayPal Holdingsinvestor protection violation2019UK-CMA£250,000
GAM International Management LtdGAM Holding AGinvestor protection violation2022UK-FCA£9,103,523
Citigroup Global Markets LimitedCitigroupinvestor protection violation2022UK-FCA£12,553,800
Julius Baer International LimitedJulius Baer Groupinvestor protection violation2022UK-FCA£18,022,500
Stagecoach Devon Ltd t/a Stagecoach South WestDeutsche Banklabour standards violation2018UK-ET£5,500
Nationwide Building SocietyNationwide Building Societylabour standards violation2021UK-ET£345,708
Solus London LtdAviva PLClabour standards violation2018UK-ET£1,000
Lloyds Banking Group plcLloyds Banking Grouplabour standards violation2023UK-ET£473,148
Connells ResidentialSkipton Building Societylabour standards violation2024UK-BEIS£17,087
Roadchef LimitedMacquarielabour standards violation2024UK-BEIS£119,272
Neovia Logistics Services (UK) LimitedGoldman Sachslabour standards violation2017UK-ET£30,000
HSBC Bank PlcHSBClabour standards violation2017UK-ET£11,803
The Royal Bank of Scotland plcNatWest Group PLClabour standards violation2017UK-ET£20,870
Lloyds Bank PlcLloyds Banking Grouplabour standards violation2017UK-ET£53,922
Lloyds Banking Group plcLloyds Banking Grouplabour standards violation2017UK-ET£5,043
The Royal Bank of Scotland plcNatWest Group PLClabour standards violation2017UK-ET£3,148
Citibank N.A.Citigrouplabour standards violation2017UK-ET£103,335
HBOS PlcLloyds Banking Grouplabour standards violation2017UK-ET£9,114
Natwest Markets plcNatWest Group PLClabour standards violation2021UK-ET£3,999
HSBC UK Bank LtdHSBClabour standards violation2021UK-ET£13,802
Barclays Bank UK plcBarclayslabour standards violation2021UK-ET£9,692
Newday Cards LtdNewDay Limitedlabour standards violation2021UK-ET£500
The Yorkshire Traction Company LtdDeutsche Banklabour standards violation2021UK-ET£4,492
DL Insurance Services LtdDirect Line Insurance Group PLClabour standards violation2020UK-ET£11,649
AWP Assistance UK Ltd T/a Allianz PartnersAllianzlabour standards violation2020UK-ET£17,859
Citibank N.ACitigrouplabour standards violation2020UK-ET£75,427
Connells ResidentialSkipton Building Societylabour standards violation2020UK-ET£2,750
DL Insurance Services LtdDirect Line Insurance Group PLClabour standards violation2020UK-ET£36,998
DL Insurance Services plc and othersDirect Line Insurance Group PLClabour standards violation2020UK-ET£11,216
Connells Residential dba Connells Estate AgentsSkipton Building Societylabour standards violation2016UK-BEIS£2,049
DL Insurance Services LimitedDirect Line Insurance Group PLClabour standards violation2020UK-ET£11,216
HBOS PlcLloyds Banking Grouplabour standards violation2020UK-ET£10,828
AXA PPP HEALTHCARE GROUP LTDAXAlabour standards violation2020UK-ET£4,128
Santander UK PlcBanco Santanderlabour standards violation2020UK-ET£19,702
Barclays Bank UK plcBarclayslabour standards violation2020UK-ET£15,010
Southern Water Services LtdMacquarielabour standards violation2020UK-ET£1,303
MBNA LimitedLloyds Banking Grouplabour standards violation2020UK-ET£20,968
EUI LtdAdmiral Grouplabour standards violation2019UK-ET£40,000
HBOS PlcLloyds Banking Grouplabour standards violation2019UK-ET£49,457
Credit Suisse Services, AGUBSlabour standards violation2021UK-ET£20,000
Lloyds Banking GroupLloyds Banking Grouplabour standards violation2021UK-ET£4,300
Royal Bank of CanadaRoyal Bank of Canadalabour standards violation2021UK-ET£1,112,956
Lloyds Bank PlcLloyds Banking Grouplabour standards violation2019UK-ET£7,500
Busways Travel Services LimitedDeutsche Banklabour standards violation2021UK-ET£32,299
Barclays Bank PlcBarclayslabour standards violation2019UK-ET£9,155
The Co-Operative Bank PLCCo-operative Banklabour standards violation2019UK-ET£4,775
HBOS plcLloyds Banking Grouplabour standards violation2022UK-ET£2,140
BGC Technology International LtdBGC Partnerslabour standards violation2022UK-ET£15,725
Lloyds Bank plcLloyds Banking Grouplabour standards violation2022UK-ET£84,419
J P Morgan Securities plcJPMorgan Chaselabour standards violation2021UK-ET£1,145,247
A J Bell plcAJ Bell PLClabour standards violation2020UK-ET£20,483
BNP Paribas London BranchBNP Paribaslabour standards violation2019UK-ET£2,081,449
Commerzbank AGCommerzbanklabour standards violation2022UK-ET£185,719
Greater Manchester Buses South Ltd T/a Stagecoach ManchesterDeutsche Banklabour standards violation2022UK-ET£4,306
Societe Generale Equipment Finance LtdSociete Generalelabour standards violation2022UK-ET£1,115
East London Bus & Coach Company LtdDeutsche Banklabour standards violation2022UK-ET£13,668
Lloyds Bank PLCLloyds Banking Grouplabour standards violation2019UK-ET£711
Newday Cards LimitedNewDay Limitedlabour standards violation2019UK-ET£18,599
Royal Bank of CanadaRoyal Bank of Canadalabour standards violation2019UK-ET£8,100
Tullett Prebon GroupTP ICAP PLClabour standards violation2019UK-ET£69,682
Barclays Services LtdBarclayslabour standards violation2019UK-ET£947,585
HBOS plcLloyds Banking Grouplabour standards violation2022UK-ET£22,304
AXA Investment Managers LtdAXAlabour standards violation2019UK-ET£8,000
Commerzbank AGCommerzbanklabour standards violation2022UK-ET£300,684
The Royal Bank of Scotland PLCNatWest Group PLClabour standards violation2018UK-ET£6,509
Greater Manchester Buses (South) LimitedDeutsche Banklabour standards violation2018UK-ET£40,354
BNP Paribas Real Estate Advisory & Property Management UK LimitedBNP Paribaslabour standards violation2023UK-BEIS£933
Co-operative Bank plcCo-operative Banklabour standards violation2023UK-ET£19,191
American Express Services Europe LimitedAmerican Expresslabour standards violation2018UK-ET£3,300
Bank of IrelandBank of Irelandlabour standards violation2021UK-ECNI£18,483
National Westminster Bank plcNatWest Group PLClabour standards violation2023UK-ET£87,699
Swiss Re Corporate Solutions Services LtdSwiss Relabour standards violation2023UK-ET£1,287
Direct Line Insurance Services LtdDirect Line Insurance Group PLClabour standards violation2023UK-ET£64,645
Buck Consultants LimitedArthur J. Gallagher & Co.labour standards violation2022UK-EHRC£0