Barclays Capital, Cboe, featured
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Cboe Exchange, Inc. has issued a notice of disciplinary decision against Barclays Capital Inc.
Barclays Capital, CME, featured, NYMEX
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Barclays Capital Inc has agreed to pay a fine of $25,000 for alleged violations of NYMEX rules.
Barclays Capital, featured, FINRA, LOPR
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Barclays Capital failed to report, or inaccurately reported, over-the-counter options positions to the LOPR in 4.3 million instances.
Barclays Capital, CME, featured
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The Clearing House Risk Committee found that Barclays Capital Inc. violated Customer Gross Margining Technical Overview Requirements.
Barclays Capital, Barclays fine, featured, FINRA
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Between January 2014 and February 2019, Barclays Capital overstated its daily trading volume advertised through Bloomberg, L.P.
Barclays Capital, best execution, featured, FINRA
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FINRA has fined Barclays Capital Inc. $2 million for failing to comply with its best execution obligations.
Barclays Capital, featured
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Barclays has agreed to pay a fine of $2.8 million for failure to comply with customer confirmation and related supervision rules.
Barclays, Barclays Capital
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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).
