# LLOYDS BANK PLC

LLOYDS BANK PLC of LONDON is an SEC exempt reporting adviser.

## Registration

- CRD: 161257
- Type: SEC exempt reporting adviser
- SEC file number: 802-75227
- Location: 33 OLD BROAD STREET, LONDON, EC2N 1HZ
- Phone: +44 207 626 1500
- Latest filing: 2026-04-08

## Officers, owners & control persons (101)

_Showing 25 of 101 people._

| Name | Role | Location |
| --- | --- | --- |
| [CHRIS VOGELZANG](https://search.stillhousedata.com/person/70516) | NON EXECUTIVE DIRECTOR | ALPHEN AAN DEN RIJN, P7 |
| [Henry Peter](https://search.stillhousedata.com/person/78653) | DIRECTOR; NON-EXECUTIVE DIRECTOR | Santa Clara, CA |
| [Amanda Murphy](https://search.stillhousedata.com/person/188351) | GROUP EXECUTIVE COMMITTEE MEMBER | Miami, FL |
| [Amanda Felicity Mackenzie](https://search.stillhousedata.com/person/637389) | NON EXECUTIVE DIRECTOR | London, X0 |
| [Stephen Robert Shelley](https://search.stillhousedata.com/person/719094) | GROUP EXECUTIVE COMMITTEE MEMBER | — |
| [Andrew Charles Walton](https://search.stillhousedata.com/person/719095) | GROUP EXECUTIVE COMMITTEE MEMBER | — |
| [William Leon David Chalmers](https://search.stillhousedata.com/person/719096) | CHIEF FINANCIAL OFFICER AND EXECUTIVE DIRECTOR | — |
| [Sarah Catherine Legg](https://search.stillhousedata.com/person/719097) | NON EXECUTIVE DIRECTOR | — |
| [Catherine Marie Woods](https://search.stillhousedata.com/person/719098) | NON EXECUTIVE DIRECTOR | — |
| [Nigel Grant Hinshelwood](https://search.stillhousedata.com/person/719099) | NON EXECUTIVE DIRECTOR | — |
| [Sarah Bentley](https://search.stillhousedata.com/person/719100) | NON EXECUTIVE DIRECTOR | — |
| [Harmeen Mehta](https://search.stillhousedata.com/person/719101) | NON EXECUTIVE DIRECTOR | — |
| [Brendan Edward Gilligan](https://search.stillhousedata.com/person/719102) | NON EXECUTIVE DIRECTOR | — |
| [Robin Francis Budenberg](https://search.stillhousedata.com/person/719103) | NON EXECUTIVE DIRECTOR | — |
| [Kate Cheetham](https://search.stillhousedata.com/person/719104) | CHIEF LEGAL OFFICER AND COMPANY SECRETARY | — |
| [Charles Alan Nunn](https://search.stillhousedata.com/person/719105) | EXECUTIVE DIRECTOR AND GROUP CHIEF EXECUTIVE | — |
| [Elyn Corfield](https://search.stillhousedata.com/person/719106) | GROUP EXECUTIVE COMMITTEE MEMBER | — |
| [John Winter](https://search.stillhousedata.com/person/719107) | GROUP EXECUTIVE COMMITTEE MEMEBER | — |
| [Jayne Opperman](https://search.stillhousedata.com/person/719108) | GROUP EXECUTIVE COMMITTEE MEMBER | — |
| [Sharon Doherty](https://search.stillhousedata.com/person/719109) | GROUP EXECUTIVE COMMITTEE MEMBER | — |
| [Joanne Harris](https://search.stillhousedata.com/person/719110) | GROUP EXECUTIVE COMMITTEE MEMBER | — |
| [Jasjyot Singh](https://search.stillhousedata.com/person/719111) | GROUP EXECUTIVE COMMITTEE MEMBER | — |
| [Cathy Turner](https://search.stillhousedata.com/person/719112) | NON EXECUTIVE DIRECTOR | — |
| [Scott Wheway](https://search.stillhousedata.com/person/719113) | NON EXECUTIVE DIRECTOR | — |
| [Ron Van Kemenade](https://search.stillhousedata.com/person/719114) | GROUP EXECUTIVE COMMITTEE MEMBER | — |


## Disclosures (19)

_Showing 10 of 12 distinct disclosure events._

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2020-06-11 | regulatory | ON 11 JUNE 2020, THE FCA PUBLISHED A FINAL NOTICE IMPOSING A PENALTY OF #64,046,800 ON LLOYDS BANK PLC, BANK OF SCOTLAND PLC, AND THE MORTGAGE BUSINESS PLC ('THE BANKS') FOR BREACHES OF PRINCIPLES 3 AND 6 OF THE AUTHORITY'S PRINCIPLES FOR BUSINESSES. THESE BREACHES WERE IN RELATION TO THE HANDLING O… | Final | $64.0M |
| 2020-06-11 | regulatory | ON 11 JUNE 2020, THE FCA PUBLISHED A FINAL NOTICE IMPOSING A PENALTY OF £64,046,800 ON LLOYDS BANK PLC, BANK OF SCOTLAND PLC, AND THE MORTGAGE BUSINESS PLC ('THE BANKS') FOR BREACHES OF PRINCIPLES 3 AND 6 OF THE AUTHORITY'S PRINCIPLES FOR BUSINESSES. THESE BREACHES WERE IN RELATION TO THE HANDLING O… | Final | $64.0M |
| 2019-06-21 | regulatory | BANK OF SCOTLAND FAILED TO ALERT THE THEN REGULATOR (THE FINANCIAL SERVICES AUTHORITY) OF SUSPICIONS OF FRAUD IN ITS READING BRANCH WITHIN THE IMPAIRED ASSETS ('IAR') TEAM, AFTER IDENTIFYING SUSPICIOUS CONDUCT IN EARLY 2007. THE SUSPICIOUS CONDUCT RELATED TO A DIRECTOR (LYNDEN SCOURFIELD) SANCTIONIN… | Final | $45.5M |
| 2017-03-10 | civil | CIVIL CLAIM AGAINST THE GROUP (TOGETHER WITH A NUMBER OF OTHER BANKS AND THE BRITISH BANKERS ASSOCIATION) BEING PURSUED BY THE FEDERAL DEPOSIT INSURANCE CORPORATION IN ITS CAPACITY AS THE RECEIVER FOR 19 FAILED BANKING INSTITUTIONS. THE CLAIM CONTAINS ALLEGATIONS OF FRAUDULENT MISREPRESENTATION AND… | Pending | — |
| 2016-05-01 | criminal | IN MAY 2016 NEWHAM INITIATED PROCEEDINGS AGAINST TMB AND ONE OF ITS DIRECTORS WHO WERE CHARGED WITH TWO OFFENCES THAT RELATE TO THE FAILURE TO RESPOND TO STATUTORY NOTICES REQUESTING INFORMATION AND DOCUMENTS SENT TO TMB BY NEWHAM. THESE MATTERS HAVE ARISEN IN CONNECTION WITH A PROPERTY MORTGAGED TO… | Final | — |
| 2016-05-01 | criminal | IN MAY 2016 THE LONDON BOROUGH OF NEWHAM (NEWHAM) INITIATED PROCEEDINGS AGAINST THE MORTGAGE BUSINESS PLC (TMB), ONE OF THE AFFILIATES OF LLOYDS BANK PLC. TMB AND ONE OF ITS DIRECTORS WERE ULTIMATELY CHARGED WITH TWO OFFENCES THAT RELATE TO THE FAILURE TO RESPOND TO STATUTORY NOTICES REQUESTING INFO… | Final | — |
| 2014-07-28 | regulatory | MANIPULATION OF LIBOR AND BBA REPO RATE SUBMISSIONS AND RELATED SYSTEMS AND CONROL FAILURES. | Final | $179.0M |
| 2014-07-28 | criminal | ON 28 JULY 2014, THE GROUP ANNOUNCED THAT IT HAD REACHED AGREEMENTS TO RESOLVE WITH UK AND US FEDERAL AUTHORITIES LEGACY ISSUES REGARDING THE MANIPULATION SEVERAL YEARS AGO OF CERTAIN GROUP COMPANIES' SUBMISSIONS TO THE BRITISH BANKERS' ASSOCIATION (BBA), LONDON INTERBANK OFFERED RATE (LIBOR) AND ST… | Final | — |
| 2014-07-28 | regulatory | VIOLATIONS OF 6(C), 6(D) AND 9(A)(2) OF THE COMMODITY EXCHANGE ACT. | Final | $105.0M |
| 2013-02-01 | regulatory | BETWEEN 5 MARCH 2012 AND 28 MAY 2013 BANK OF SCOTLAND PLC, LLOYDS BANK PLC AND BLACK HORSE LIMITED BREACHED PRINCIPLE 6 (CUSTOMERS' INTERESTS) OF THE AUTHORITY'S PRINCIPLES FOR BUSINESS BY FAILING TO PAY DUE REGARD TO THE INTERESTS OF, OR TREAT FAIRLY, CUSTOMERS WHO HAD COMPLAINED ABOUT THE PAYMENT… | Final | $117.0M |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/161257/brochure
- Similar advisers: https://search.stillhousedata.com/firm/161257/similar
- Related entities: https://search.stillhousedata.com/firm/161257/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/161257

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.