Violation Tracker Parent Company Summary
Parent Company Name:
Barclays
Ownership Structure:
publicly traded (ticker symbol BCS)
Headquartered in:
Britain
Major Industry:
financial services
Specific Industry:
banking
Penalty total since 2000:
$5,110,571,934
Number of records:
24
| Top 10 Primary Offense Types | Penalty Total | Number of Records |
|---|---|---|
| toxic securities abuses | $2,605,000,000 | 3 |
| interest rate benchmark manipulation | $875,000,000 | 4 |
| foreign exchange market manipulation | $710,000,000 | 1 |
| banking violation | $342,000,000 | 1 |
| economic sanction violation | $300,510,967 | 4 |
| investor protection violation | $145,247,699 | 4 |
| energy market manipulation | $105,000,000 | 1 |
| securities issuance or trading violation | $15,560,000 | 2 |
| insider trading | $10,943,561 | 1 |
| financial institution supervision failures | $800,000 | 1 |
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 dollar total above may be adjusted to account for the fact that the list of 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. Duplicate penalty amounts are marked with an asterisk in the list below.
Associated Names:
BARCLAYS; BARCLAYS BANK PLC
Links:
Individual Penalty Records:
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| 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 | interest rate benchmark manipulation | 2015 | CFTC | $400,000,000 |
| BARCLAYS BANK PLC | banking violation | 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 | interest rate benchmark manipulation | 2015 | CFTC | $115,000,000 |
| Barclays Bank PLC | energy market manipulation | 2017 | FERC | $105,000,000 |
| Barclays Capital | investor protection violation | 2017 | SEC | $97,037,659 |
| Barclays Capital Inc. | investor protection violation | 2016 | SEC | $35,000,000 |
| Barclays Capital Inc. | securities issuance or trading violation | 2014 | SEC | $15,000,000 |
| Barclays Capital Inc. | investor protection violation | 2017 | SEC | $12,710,040 |
| Barclays Bank PLC | insider trading | 2007 | SEC | $10,943,561 |
| Barclays Bank PLC | economic sanction violation | 2016 | OFAC | $2,485,890 |
| Barclays Capital Inc. | financial institution supervision failures | 2016 | CFTC | $800,000 |
| Barclays Bank PLC | securities issuance or trading 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 |
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