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.
Barclays Capital
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).
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