Defendant Name: Barclays Capital Inc.

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

Document Reference: 34-80560

Document Details

Legal Case Name In the Matter of Barclays Capital, Inc.
Document Name Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Document Date 01-May-2017
Document Format Administrative Proceeding
File Number 3-17953
Allegation Type Broker Dealer
Document Summary 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")." 

Disgorgement & Penalty Information

Resolutions
Censured
Other Compliance Related Undertaking
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:

Disgorgement

Individual:     $9,603,502.00 Shared:    

Civil Penalty

Individual:     $1,000,000.00 Shared:    

Pre-Judgment Interest

Individual:     $2,106,541.00 Shared:    

Related Documents:

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