Barclays Capital to pay $325k fine as part of settlement with FINRA
Barclays Capital Inc has agreed to pay a fine of $325,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Barclays Capital
Barclays Capital to pay $150k fine for alleged violation of FINRA rules
Barclays Capital Inc has agreed to pay a fine of $150,000 as a part of a settlement with FINRA.
Barclays Capital fined for alleged violations of Cboe rules
Cboe Exchange, Inc. has issued a notice of disciplinary decision against Barclays Capital Inc.
Barclays Capital gets a slap on the wrist for NYMEX rule violations
Barclays Capital Inc has agreed to pay a fine of $25,000 for alleged violations of NYMEX rules.
FINRA imposes $2.5M fine on Barclays Capital for inaccurate reporting of OTC options positions
Barclays Capital failed to report, or inaccurately reported, over-the-counter options positions to the LOPR in 4.3 million instances.
CME fines Barclays Capital for alleged rule violations
The Clearing House Risk Committee found that Barclays Capital Inc. violated Customer Gross Margining Technical Overview Requirements.
FINRA fines Barclays Capital for overstating its trading volume
Between January 2014 and February 2019, Barclays Capital overstated its daily trading volume advertised through Bloomberg, L.P.
Barclays Capital to pay $2M to settle FINRA charges for best execution violations
FINRA has fined Barclays Capital Inc. $2 million for failing to comply with its best execution obligations.
FINRA fines Barclays $2.8M for non-compliance with customer confirmation, supervision rules
Barclays has agreed to pay a fine of $2.8 million for failure to comply with customer confirmation and related supervision rules.
Barclays gets $650,000 fine for systemic TRACE reporting issues
Barclays Capital has agreed to pay a $650,000 fine as a part of a settlement with the United States Financial Industry Regulatory Authority (FINRA).
