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18 May 2017, 7:41 am by Elizabeth Dalziel
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]
5 Apr 2020, 6:52 am
The Jefferson County District Court reported the following activity in the suit brought by Fox Capital Group Inc. against Coleman R Ferguson, Melissa Barclay, Plan B Services Inc., Tips Plant Services of Texas Inc. and Total Industrial Plant Services Inc. on April 2: 'Correspondence'. [read post]
5 Apr 2020, 6:50 am
The Jefferson County District Court reported the following activity in the suit brought by Fox Capital Group Inc. against Coleman R Ferguson, Melissa Barclay, Plan B Services Inc., Tips Plant Services of Texas Inc. and Total Industrial Plant Services Inc. on April 1: 'Petition'. [read post]
26 Sep 2014, 7:15 am by SEClaw Staff
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 by Securites Lawprof
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]
29 Mar 2018, 6:52 am by Jeffrey A. Newman
Barclays Capital, Inc., alleged that Barclays caused billions of dollars in losses to investors by engaging in a fraudulent scheme to sell 36 RMBS deals, and that it misled investors about the quality of the mortgage loans backing those deals. [read post]
8 Apr 2014, 6:35 am by Adam Weinstein
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 by Stephanie Abbott
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 by Ross B. Intelisano
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]
4 Apr 2016, 2:08 pm by Katie Lieberg Stowe
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 by Felix Shipkevich
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]
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]
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]
6 Jun 2016, 8:57 am by Samantha Scheller
On May 26, 2016, the FDIC reached a $190 million settlement of RMBS claims against eight financial institutions, including Barclays Capital Inc.; Deutsche Bank Securities Inc.; Goldman, Sachs & Co; RBS Securities Inc.; and UBS Securities LLC. [read post]
16 Jun 2014, 10:23 pm by Tom Smith
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]
16 Jan 2018, 3:22 am
Former Head of Barclays New York Foreign Exchange Operation Indicted for Orchestrating Multimillion-Dollar Front-Running Scheme (DOJ Press Release 18-47)  https://www.justice.gov/opa/pr/former-head-barclays-new-york-foreign-exchange-operation-indicted-orchestrating-multimillionThe former head of Barclays Capital Inc.’s (Barclays) New York foreign exchange trading operation, Robert Bogucki, was indicted in the Northern District of… [read post]