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