Defendant Name:
Barclays Capital Inc.
Defendant Type:
Subsidiary of Public Company
Document Reference:
34-90453
Document Details
Legal Case Name
In the Matter of Barclays Capital Inc.
Document Name
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
Document Date
18-Nov-2020
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Document Summary
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."
Disgorgement & Penalty Information
Resolutions
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."
Fair Funds
Monetary Penalties:
Disgorgement
Individual:
$49,785,417.00
Shared:
Civil Penalty
Individual:
$30,000,000.00
Shared:
Pre-Judgment Interest
Individual:
$13,752,242.00
Shared:
