Violation Tracker Parent Company Summary
Parent Company Name:
Barclays
Ownership Structure:
publicly traded (ticker symbol LSE: BARC)
Headquartered in:
United Kingdom
Major Industry:
financial services
Specific Industry:
banking
Penalty total since 2000:
$5,992,319,528
Number of records:
41
Top 5 Offense Groups (Groups Defined) | Penalty Total | Number of Records |
---|---|---|
financial offenses | $3,190,605,084 | 26 |
competition-related offenses | $2,786,204,737 | 12 |
employment-related offenses | $15,009,707 | 2 |
miscellaneous offenses | $500,000 | 1 |
Top 5 Primary Offense Types | Penalty Total | Number of Records |
---|---|---|
toxic securities abuses | $2,654,742,857 | 6 |
foreign exchange market manipulation | $1,699,896,011 | 5 |
interest rate benchmark manipulation | $975,000,000 | 5 |
economic sanction violation | $300,510,967 | 5 |
investor protection violation | $224,407,699 | 14 |
Notes:
Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.
Links:
Individual Penalty Records:
Click on the company or penalty amount for more information on each case.Company | Primary Offense Type | Year | Agency |
Penalty Amount![]() |
---|---|---|---|---|
Barclays Capital, Inc. | toxic securities abuses | 2018 | USAO | $2,000,000,000 |
Barclays PLC | foreign exchange market manipulation | 2015 | DOJ_CRIMINAL | $710,000,000 |
Barclays Bank PLC | foreign exchange market manipulation | 2015 | NY-DFS | $485,000,000 |
Barclays | interest rate benchmark manipulation | 2015 | CFTC | $400,000,000 |
BARCLAYS BANK PLC | foreign exchange market manipulation | 2015 | FED | $342,000,000 |
Barclays Capital Inc. | toxic securities abuses | 2015 | NCUA | $325,000,000 |
Barclays Bank PLC | economic sanction violation | 2010 | DOJ_CRIMINAL | $298,000,000 |
Barclays Bank PLC | toxic securities abuses | 2014 | FHFA | $280,000,000 |
Barclays PLC | interest rate benchmark manipulation | 2012 | CFTC | $200,000,000 |
Barclays Bank PLC | interest rate benchmark manipulation | 2012 | DOJ_CRIMINAL | $160,000,000 |
Barclays Bank PLC | foreign exchange market manipulation | 2015 | NY-DFS | $150,000,000 |
Barclays plc | economic sanction violation | 2010 | NY-MANDA | (*) $149,000,000 |
Barclays | interest rate benchmark manipulation | 2015 | CFTC | $115,000,000 |
Barclays Bank PLC | energy market manipulation | 2017 | FERC | $105,000,000 |
Barclays Bank PLC | interest rate benchmark manipulation | 2016 | MULTI-AG | $100,000,000 |
Barclays Capital | investor protection violation | 2017 | SEC | $97,037,659 |
Barclays Bank PLC | toxic securities abuses | 2013 | MA-AG | $36,100,000 |
Barclays Capital Inc. | investor protection violation | 2016 | SEC | $35,000,000 |
Barclays Capital Inc. | investor protection violation | 2016 | NY-AG | $35,000,000 |
Barclays Capital Inc. | investor protection violation | 2014 | SEC | $15,000,000 |
Barclays Bank PLC | workplace whistleblower retaliation | 2018 | NY-DFS | $15,000,000 |
Barclays Capital, Inc. | investor protection violation | 2015 | FINRA | $13,750,000 |
Barclays PLC | foreign exchange market manipulation | 2018 | DOJ_CRIMINAL | $12,896,011 |
Barclays Capital Inc. | investor protection violation | 2017 | SEC | $12,710,040 |
Barclays Bank PLC | insider trading | 2007 | SEC | $10,943,561 |
Barclays Capital Inc. | toxic securities abuses | 2016 | VA-AG | $9,000,000 |
Barclays PLC | Foreign Corrupt Practices Act | 2019 | SEC | $6,308,726 |
Barclays Capital Inc. | investor protection violation | 2014 | FINRA | $5,000,000 |
Barclays Capital Inc. | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Barclays Capital Inc. | investor protection violation | 2013 | FINRA | $3,750,000 |
Barclays Capital Inc. | investor protection violation | 2011 | FINRA | $3,000,000 |
Barclays Bank PLC | economic sanction violation | 2016 | OFAC | $2,485,890 |
Barclays Capital Inc. | investor protection violation | 2016 | FINRA | $1,300,000 |
Barclays Capital Inc. | investor protection violation | 2014 | FINRA | $1,000,000 |
Barclays Capital Inc. | investor protection violation | 2016 | CFTC | $800,000 |
Barclays Bank PLC | investor protection violation | 2016 | CFTC | $560,000 |
Barclays Bank PLC | data submission deficiencies | 2016 | CFTC | $500,000 |
Barclays Capital Inc. | investor protection violation | 2016 | SEC | $500,000 |
Barclays Bank PLC | economic sanction violation | 2004 | OFAC | $14,970 |
Barclays Bank PLC | economic sanction violation | 2003 | OFAC | $10,107 |
Barclays Capital Inc. | wage and hour violation | 2009 | WHD | $9,707 |