Defendant Name: Barclays Capital Inc.

Defendant Type: Subsidiary of Public Company
Public Company Parent: Barclays PLC
SIC Code: 6029
CUSIP: 06738E20

Initial Case Details

Legal Case Name In the Matter of Barclays Capital Inc.
First Document Date 10-May-2017
Initial Filing Format Administrative Action
File Number 3-17978
Allegation Type Investment Advisers/Investment Companies

Violations Alleged

Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)
Other
• Sections 206(2), 206(4), 207 Advisers Act; Rule 206(4)-7 Advisers Act

Resolutions

First Resolution Date 10-May-2017

Related Documents:

33-10355 10-May-2017 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8a of the Securities Act Of 1933, Section 15(B) of the Securities Exchange Act of 1934, and Sections 203(E) And 203(K) of the Investment Advisers Act Of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease- and-Desist Order
According to the SEC: "From September 2010 through December 2015, Barclays Capital, then a dually-registered investment adviser and broker-dealer, improperly charged certain advisory clients of its wealth and investment management business, overcharging them almost $50 million in advisory fees." 
34-90453 18-Nov-2020 Administrative Proceeding
Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund
The Commission stated: "it is ORDERED that: A. the remaining funds in the amount of $42,847,123.63, and any funds returned to the Fair Fund in the future, shall be transferred to the U.S. Treasury, subject to Section 21F(g)(3) of the Securities Exchange Act of 1934 [15 U.S. Code § 78u6(g)(3)]; and B. the Fair Fund is terminated."