Search for: "Barclays Capital, Inc"
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31 Aug 2012, 5:00 am
The defendants, Barclays Bank PLC and Barclays Capital Inc. [read post]
20 Jun 2011, 12:31 pm
Barclays Capital Inc. v. [read post]
29 Mar 2018, 3:25 am
Barclays Capital Inc. [read post]
6 Jun 2016, 8:57 am
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
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]
31 Jan 2016, 1:43 pm
The Securities and Exchange Commission today announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC have agreed to settle separate cases finding that they violated federal securities laws while operating alternative trading systems known as dark pools and Credit Suisse’s Light Pool.The New York Attorney General’s office is announcing parallel actions against the two firms.Barclays agreed to settle the charges by admitting wrongdoing and… [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]
27 Jun 2012, 6:27 am
Commodity Futures Trading Commission (CFTC) issued an Order today filing and settling charges against Barclays PLC, Barclays Bank PLC (Barclays Bank) and Barclays Capital Inc. [read post]
1 Jun 2022, 10:11 am
Barclays Capital Inc. [read post]
9 Dec 2011, 6:52 am
Travis Laster has approved a settlement requiring Del Monte Corp. and Barclays Capital Inc. to pay $89.4 million to Del Monte shareholders to resolve claims relating to the March 2011 acquisition of Del Monte by funds affiliated with Kohlberg Kravis Roberts & Co. [read post]
1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance… [read post]
21 May 2010, 8:36 am
By Eric Goldman Barclays Capital Inc. v. [read post]
16 Mar 2017, 8:57 am
American Realty Capital New York City REIT Inc. [read post]
11 Jan 2019, 8:41 am
Previous employment included Merrill Lynch, Pierce, Fenner & Smith Inc. from November 2009 to May 2016 and Barclays Capital Inc. from April 2002 to September 2002. [read post]
10 Jul 2011, 12:02 pm
By Eric Goldman Barclays Capital Inc. v. [read post]
5 Feb 2018, 3:00 am
Bigsby v Barclays Capital Real Estate Inc., 170 F. [read post]
5 Mar 2009, 12:06 pm
., Credit Suisse Securities (USA) LLC, Barclays Capital Inc., Bear Stearns & Co., Countrywide Securities Corp., Deutsche Bank Securities Inc., JPMorgan Chase Inc., Bank of America Corp., Citigroup Global Markets Inc., McGraw-Hill Cos., Moody's Investor Services Inc., and Fitch Ratings Inc., over allegations that they made false statements in the prospectus and registration statement for certificates that were… [read post]
21 Jun 2011, 4:18 am
In Barclay's Capital Inc. v. [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]
