Search for: "BARCLAYS CAPITAL, INC."
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6 Oct 2022, 9:56 am
Barclays Sanctioned for Best Execution Violations and Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has fined Barclays Capital Inc. [read post]
18 May 2017, 7:41 am
On May 10, 2017, the Securities and Exchange Commission (“SEC”) issued an Order Instituting Administrative and Cease-and-Desist Proceedings (“Order”) against Barclays Capital Inc. [read post]
26 Sep 2014, 7:15 am
The SEC charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system to ensure the firm did not run afoul of any federal securities laws after its wealth management business in the U.S. acquired the advisory business of Lehman Brothers in September 2008. [read post]
28 Dec 2011, 11:42 am
FINRA recently fined Barclays Capital Inc. $3 million for misrepresenting delinquency data and inadequate supervision in connection with the issuance of residential subprime mortgage securitizations (RMBS). [read post]
1 Jun 2022, 12:15 pm
Court of Appeals for the Federal Circuit (CAFC) today issued a precedential trademark decision upholding a Trademark Trial and Appeal Board (TTAB) ruling that sustained two oppositions filed by Barclays Capital Inc. against Tiger Lily Ventures’ applications for registration of the standard character mark “LEHMAN BROTHERS. [read post]
1 Jun 2022, 12:15 pm
Court of Appeals for the Federal Circuit (CAFC) today issued a precedential trademark decision upholding a Trademark Trial and Appeal Board (TTAB) ruling that sustained two oppositions filed by Barclays Capital Inc. against Tiger Lily Ventures’ applications for registration of the standard character mark “LEHMAN BROTHERS. [read post]
8 Apr 2014, 6:35 am
The Financial Industry Regulatory Authority (FINRA) fined Barclays Capital Inc. [read post]
24 Apr 2017, 3:36 am
On May 1, 2017, the Securities and Exchange Commission ("SEC") filed three Orders Instituting Administrative Proceedings (the "OIPs") against Respondents Barclays Capital, Inc. [read post]
29 Mar 2018, 9:04 am
Barclays Capital, Inc. and several of its affiliates (together, Barclays) have reached an agreement with the United States to settle a civil action filed in December 2016 in which the United States sought civil penalties for alleged conduct related to Barclays’ underwriting and issuance of residential mortgage-backed securities (RMBS) between 2005 and 2007. [read post]
17 Nov 2009, 8:57 am
Lehman Brothers Holdings Inc. filed a lawsuit against Barclays Capital in New York federal court alleging the British bank took control of excess assets in collusion with Lehman executives when it bought its U.S. brokerage business in 2008. [read post]
19 Jul 2022, 7:45 am
Barclays Capital Inc., June 1, 2022, Lourie, A.). [read post]
23 Dec 2011, 7:06 pm
FINRA says that Barclays Capital Inc. will pay $3 million over charges of inadequate supervision related to the residential subprime mortgage securitizations and the misrepresentation of delinquency data. [read post]
4 Apr 2016, 2:08 pm
On March 29, Barclays Capital Inc. and Massachusetts Mutual Life Insurance Co. jointly moved pursuant to a confidential settlement agreement for dismissal of an action brought by MassMutual. [read post]
27 Jun 2012, 8:19 am
CFTC Orders Barclays to Pay $200 MillionThe CFTC issued an order today filing and settling charges against Barclays PLC, Barclays Bank PLC and Barclays Capital Inc. for attempting to manipulate and making false reports concerning the LIBOR and Euribor benchmark interest rates between 2005 and 2009. [read post]
13 Dec 2009, 10:56 pm
Lehman Brothers Holdings Inc. has filed an adversary complaint against Barclays Capital Inc. requesting the return of billions of dollars in extra profit that it says the latter made when buying Lehman’s North American brokerage business last year. [read post]
17 Jan 2010, 9:29 pm
’s $60 million securities fraud claims against Barclays Capital Inc. and Barclays Bank PLC. [read post]
24 Aug 2015, 3:20 am
The defendants in the MDL were Barclays PLC, Barclays Capital, Inc, BATS Global Markets, Inc., Chicago Stock Exchange, Inc., Direct Edge E... [read post]
6 Oct 2020, 3:23 am
Barclays Capital Inc. and Barclays PLC v. [read post]
27 Jun 2019, 6:14 am
In the Matter of the Arbitration Between Barclays Capital, Inc., Claimant, v.... [read post]
25 Jan 2016, 2:17 am
On January 31, 2015, the Securities and Exchange Commission ("SEC") announced that it had entered into settlements with Barclays Capital Inc. and Credit Suisse Securities (USA) LLC concerning those firms' alleged operations of alternative trading systems, so-called "Dark Pools. [read post]
