Search for: "Barclays Capital, Inc"
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29 Apr 2019, 12:55 pm
The defendants are Bank of America NA, Barclays Capital, Wells Fargo Securities, LLC, Citigroup Global Markets, Inc., BNP Paribas Securities Corp., Deutsche Bank Securities, JPMorgan Securities, HSBS Bank Plc, HSBC Securities, JP Morgan Chase Bank, TD Securities, Nomura Securities International Inc., and Merrill Lynch, Pierce, Fenner & Smith. [read post]
4 Feb 2019, 6:28 am
Mattress Firm 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]
31 Dec 2018, 1:04 pm
(GS), Barclays Plc (BARC), Bank of America Corp. [read post]
3 Dec 2018, 11:27 am
A preliminary $182M settlement has been reached in a benchmark rigging lawsuit between investors and banks Citigroup Inc. [read post]
7 Nov 2018, 8:46 am
Tune in this time next week to find out whether the court will be adding to its capital docket. [read post]
4 May 2018, 7:19 am
In addition to his current registration with Stifel, Nicolaus & Company, he is also currently registered with Barclay’s Capital since 9/2008. [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]
29 Mar 2018, 3:25 am
Barclays Capital Inc. [read post]
6 Mar 2018, 8:07 am
Turner & Company, LLC Matthew Grady Millstone Wealth Partners, LLC Barclays Capital Inc. [read post]
14 Feb 2018, 2:57 pm
ANZ Securities, Inc. [read post]
5 Feb 2018, 3:00 am
Bigsby v Barclays Capital Real Estate Inc., 170 F. [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]
12 Nov 2017, 11:00 pm
Barclays PLC (here). [read post]
12 Oct 2017, 3:39 am
Barclays Capital Inc. v. [read post]
15 Sep 2017, 11:51 am
Barclays Capital Inc., for alleged anti-fraud violations based on alleged overbilling of advisory fees and excess mutual fund sales charges, which resulted in $97 million monetary relief. [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]
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]
24 Mar 2017, 3:00 am
Clayton to recuse himself on enforcement matters related to former clients, such as Goldman Sachs Group Inc. and Barclays PLC, as well as companies represented by his firm before the SEC. [read post]
16 Mar 2017, 8:57 am
American Realty Capital New York City REIT Inc. [read post]
