Search for: "Barclays Capital"
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16 Jan 2015, 6:16 am
FINRA fines are as follows: Barclays Capital Inc. [read post]
27 Oct 2014, 7:00 am
: 3-16177Case filed: September 29, 2014Qualifying Judgment/Order: September 29, 2014 10/23/2014 01/21/2015 2014-115 In the Matter of Barclays Capital Inc.Administrative Proceeding File No. [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]
9 Sep 2014, 6:55 am
” In November 2012, Zaki became registered with Barclays Capital Inc. until March 2014. [read post]
8 Sep 2014, 3:24 am
The list of companies mentioned by name in the article silently makes the point; among the companies named in the article are BNP Paribas, BP, Standard Chartered, HSBC, Credit Suisse, UBS, Barclays, Toyota, Marubeni, and Rabobank. [read post]
7 Sep 2014, 11:00 am
Barclay Center — the home of the NBA’s Brooklyn Nets — was funded through EB-5 investment. [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]
1 Aug 2014, 5:00 am
Under Legal Ruling 2014-01, the venture capital fund’s attribute of “doing business” in California is attributed to its members under general principles of partnership law. [read post]
28 Jul 2014, 3:58 pm
First, the IRS should audit the hedge funds that used Deutsche Bank or Barclays basket option products, disallow any characterization of profits from trades lasting less than 12 months as long-term capital gains, and collect from those hedge funds any unpaid taxes. [read post]
15 Jul 2014, 2:00 am
R (Barclay & Anor) v SSJ and Lord Chancellor & Ors, heard 30 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
FHR European Ventures LLP & Ors v Cedar Capital Partners LLC, heard 17-19 June 2014. [read post]
19 Jun 2014, 8:42 am
On June 25, 2014, New York State Attorney General Eric Schneiderman filed a Complaint naming defendants Barclays PLC and Barclays Capital Inc.with fraud arising from the operation of a dark pool and other attendant electronic trading practices. [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 Jun 2014, 8:41 am
” Barclays analyst: GM recalls may continue into summer. [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]
25 Apr 2014, 6:17 am
They include the six largest UK retail lending groups: Barclays, HSBC Bank, Lloyds Banking Group, Royal Bank of Scotland Group, Santander UK and Virgin Money. [read post]
8 Apr 2014, 6:35 am
The Financial Industry Regulatory Authority (FINRA) fined Barclays Capital Inc. [read post]
18 Feb 2014, 7:16 am
Fed to release 'tough' capital rules for foreign banks, ReutersBanks can work with licensed marijuana stores with 'reduced fear' or criminal prosecution, ReutersInternationalU.K. government sued for $4 billion over sanctions, ReutersThree ex-Barclays bankers charged by UK fraud agency over Libor, Reuters [read post]
