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 01-May-2017
Initial Filing Format Administrative Action
File Number 3-17953
Allegation Type Broker Dealer

Violations Alleged

Other
• Section 15(b)(4)(E) Exchange Act

Resolutions

First Resolution Date 01-May-2017
Headline Total Penalty and Disgorgement $12,710,043

Related Documents:

34-80560 01-May-2017 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
According to the SEC: "These proceedings arise out of Barclays' failure reasonably to supervise traders so as to prevent and detect violations of antifraud provisions of the federal securities laws n connect with mortgage backed securities ("non-agency RMBS")." 
34-80560-s 01-May-2017 Administrative Summary
Two Former Barclays RMBS Traders Settle Fraud Charges for False or Misleading Statements and Excessive Mark-ups; Barclays Settles Charges for Filing Reasonably to Supervise
According to the SEC: "Barclays did not reasonably implement supervisory procedures to prevent and detect the false or misleading statements to customers or the undisclosed excessive mark-ups. As a result, Barclays failed reasonably to supervise Lee and Wong." 

Related Actions:

In the Matter of David F. Wong
David F. Wong
In the Matter of Yoon Seok Lee
Yoon Seok Lee