All Barclays Capital articles
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News BriefFINRA orders Barclays unit to pay $700K over conflicts of interest
A Barclays unit agreed to pay $700,000 to settle allegations levied by the Financial Industry Regulatory Authority that its research analysts violated conflict-of-interest rules and the firm failed to sufficiently supervise their trades.
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News BriefBarclays unit fined $2.5M by FINRA over reporting failures
Barclays Capital was fined $2.5 million as part of a settlement with the Financial Industry Regulatory Authority addressing allegations the investment bank failed to accurately report over-the-counter options positions in more than 4 million instances.
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ArticleFINRA fines Barclays $2.8M over supervision, disclosure lapses
Barclays Capital agreed to pay $2.8 million as part of a settlement with the Financial Industry Regulatory Authority for “failure to comply with customer confirmation and related supervision rules” that led to disclosure lapses.
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Blog
Barclays to pay $2B in mortgage-backed securities fraud case
Barclays Capital will pay $2 billion in civil penalties to resolve claims for fraud in the sale of residential mortgage-backed securities, and two former Barclays executives will pay $2 million to resolve claims brought against them individually.
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Blog
Barclays trying not to be the U.K.’s Wells Fargo
As one of the U.K.'s top banks struggles with numerous scandals, its audit committee shows there is still a way forward.
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Blog
Barclays forex trader charged in 'front-running' scheme
The Department of Justice has charged the former head of Barclays Capital’s New York foreign exchange trading operation in an indictment for his alleged role in a scheme to defraud a client of Barclays through a method commonly referred to as “front-running.”