Search for: "Barclays Capital Inc."
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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]
9 Sep 2014, 6:55 am
” In November 2012, Zaki became registered with Barclays Capital Inc. until March 2014. [read post]
14 Aug 2014, 5:00 am
SCHNEIDERMAN, Attorney General of the State of New York, Plaintiff, - against - BARCLAYS CAPITAL, INC., and BARCLAYS PLC, Defendants. [read post]
15 Jul 2014, 2:00 am
Les Laboratoires Servier & Anor v Apotex Inc & Ors, heard 10 June 2014. [read post]
3 Jul 2014, 7:10 pm
Initial public resolution plans for American International Group, Prudential Financial, Inc., and General Electric Capital Corporation were also released. [read post]
30 Jun 2014, 7:32 am
Les Laboratoires Servier & Anor v Apotex Inc & Ors, heard 10 June 2014. [read post]
18 Jun 2014, 7:47 am
The Financial Industry Regulatory Authority (FINRA) recently announced it has censured and fined Barclays Capital Inc.; Goldman, Sachs & Co.; and Merrill Lynch, Pierce, Fenner & Smith, Inc., $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers, commonly known as “blue sheet” data, to FINRA, the SEC and other regulators. [read post]
16 Jun 2014, 10:23 pm
A press release from December points out what happens to private companies that are as careless about preserving records as the IRS claims to be: The Financial Industry Regulatory Authority (FINRA) announced today that it fined Barclays Capital Inc. $3.75 million for systemic failures to preserve electronic records and certain emails and instant messages in the manner required for a period of at least 10 years. [read post]
1 May 2014, 6:40 am
Claimant(s) Respondent(s) Award of Panel 13-00144 RBC Capital Markets LLC Thomas Alexander Hand (1) Respondent to pay Claimant compensatory damages of $237,326.00; (2) Claimant to pay Respondent compensatory damages of $40,000.00. [read post]
8 Apr 2014, 6:35 am
The Financial Industry Regulatory Authority (FINRA) fined Barclays Capital Inc. [read post]
15 Jan 2014, 12:11 am
The banks that have been identified or made announcements regarding Forex regulatory investigations to date include: Barclays, Citigroup, Inc., Credit Suisse AG, Deutsche Bank, Goldman Sachs Group, HSBC, JP Morgan Chase & Co., Morgan Stanley, Royal Bank of Scotland, Standard Chartered and UBS. [read post]
6 Jan 2014, 6:44 am
Barclay’s Capital Real Estate, Inc. [read post]
31 Dec 2013, 7:59 am
Barclay’s Capital Real Estate, Inc., 2013-Ohio-1933. [read post]
19 Sep 2013, 12:04 pm
The underwriters for the PABs are JP Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Barclays Capital Inc. and Estrada Hinojosa & Company, Inc. [read post]
4 Sep 2013, 1:01 pm
The “Hot News” doctrine and its application in IndiaThe Court discussed the Hot News doctrine as propounded in the INS case, and traversed through several cases to arrive at the doctrine’s present ‘ghostly’ avatar : The present avatar ( as in The Flyonthewall.com Inc v Barclays Capital Inc) has been narrowed to injunct time sensitive news where both parties are “direct competitors” and not merely where the plaintiff's… [read post]
27 Aug 2013, 7:43 am
Panelists include Lisa Beeson, Head of Real Estate Mergers & Acquisitions, Barclays Capital; Elisabeth DeMarse, Chair, President and CEO, TheStreet, Inc., Sheila Smith, Principal, Deloitte Financial Advisory Services LLP; and Leah Sanzari (Moderator), Partner, Orrick Herrington & Sutcliffe LLP and Co-Chair of Orrick’s Women’s Initiative. [read post]
20 May 2013, 7:31 am
LP, Vestar Capital Partners and Centerview Partners for $5.3 billion, a 23% premium to the target's price before news of its potential sale broke, Laster found that Barclays "secretly and selfishly manipulated the sale process to engineer a transaction that would permit Barclays to obtain lucrative buy-side financing fees." [read post]
3 Mar 2013, 9:01 pm
Barclays Capital Real Estate Inc. dba Home EqServicing, 2011-0908 certifies the question to the Ohio Supreme Court who heard oral arguments on February 26, 2013. [read post]
15 Feb 2013, 9:00 am
Maximillian Coreth, former managing director for Lehman Brothers, appealed a bankruptcy court's dismissal of his $19.6 million breach of contract lawsuit against Barlcays Capital Inc. to the U.S. [read post]
28 Nov 2012, 10:55 am
Balganesh, however, in a subsequent article, The Uncertain Future of “Hot News” Misappropriation After Barclays Capital v. [read post]
