Basic Search  |  Summaries  |  Advanced Search

Violation Tracker UK Parent Industry Summary Page

Parent Industry: financial services
Penalty Total since 2010: £5,860,158,243
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£704,658,93132
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.

Download results as CSV or XML (maximum 1000; for access to larger downloads contact Phil Mattera)
CompanyParentOffence Type sort iconYearAgencyPenalty Amount
DB UK Bank Limited dba DB MortgagesDeutsche Bankmortgage abuses2010UK-FSA£2,340,000
Lloyds Bank plc and Bank of Scotland plc and The Mortgage Business plcLloyds Banking Groupmortgage abuses2020UK-FCA£64,046,800
Yorkshire Building SocietyYorkshire Building Societymortgage abuses2014UK-FCA£4,135,600
The Royal Bank of Scotland plc and National Westminster Bank PlcNatWest Group PLCmortgage abuses2014UK-FCA£14,474,600
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
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
Charles Schwab UK Ltd.Charles Schwab Corp.investor protection violation2020UK-FCA£8,963,200
Goldman Sachs InternationalGoldman Sachsinvestor protection violation2020UK-FCA£48,308,400
Henderson Investment Funds Ltd.Janus Hendersoninvestor protection violation2019UK-FCA£1,867,900
Tullett Prebon (Europe) LimitedTP ICAP PLCinvestor protection violation2019UK-FCA£15,400,000
The Prudential Assurance Company LimitedM&G PLCinvestor protection violation2019UK-FCA£23,875,000
Standard Life Assurance LimitedPhoenix Group Holdings PLCinvestor protection violation2019UK-FCA£30,792,500
Goldman Sachs InternationalGoldman Sachsinvestor protection violation2019UK-FCA£34,344,700
UBS AGUBSinvestor protection violation2019UK-FCA£27,599,400
Interactive Brokers (UK)Interactive Brokers Groupinvestor protection violation2018UK-FCA£1,049,412
Merrill Lynch InternationalBank of Americainvestor protection violation2017UK-FCA£34,524,000
Aviva Pension Trustees UK Limited and Aviva Wrap UK LimitedAviva PLCinvestor protection violation2016UK-FCA£8,246,800
Merrill Lynch InternationalBank of Americainvestor protection violation2015UK-FCA£13,285,900
The Bank of New York Mellon International Limited et al.Bank of New York Melloninvestor protection violation2015UK-FCA£126,000,000
Aviva Investors Global Services LimitedAviva PLCinvestor protection violation2015UK-FCA£17,607,000
Chase de Vere Independent Financial Advisers LimitedSwiss Life Groupinvestor protection violation2014UK-FCA£560,000
Sesame LimitedAviva PLCinvestor protection violation2014UK-FCA£1,598,000
Barclays Bank plcBarclaysinvestor protection violation2014UK-FCA£37,745,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2014UK-FCA£4,718,800
Credit Suisse InternationalUBSinvestor protection violation2014UK-FCA£2,398,100
Yorkshire Building SocietyYorkshire Building Societyinvestor protection violation2014UK-FCA£1,429,000
Barclays Bank plcBarclaysinvestor protection violation2014UK-FCA£26,033,500
Invesco Asset Management Limited and Invesco Fund Managers LimitedInvescoinvestor protection violation2014UK-FCA£18,643,000
Santander UK plcBanco Santanderinvestor protection violation2014UK-FCA£12,377,800
Besso LimitedArdonagh Groupinvestor protection violation2014UK-FCA£315,000
State Street Bank Europe Limited and State Street Global Markets International LimitedState Street Corp.investor protection violation2014UK-FCA£22,885,000
Lloyds Bank plc and Bank of Scotland plcLloyds Banking Groupinvestor protection violation2013UK-FCA£28,038,800
JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2013UK-FCA£137,610,000
AXA Wealth Services LtdPhoenix Group Holdings PLCinvestor protection violation2013UK-FCA£1,802,200