Violation Tracker Individual Record
: Barclays Capital Inc.
Current Parent Company
Parent at the Time of the Penalty AnnouncementPenalty
to see this data field
: December 26, 2013
: financial offenses
: investor protection violation
: The Financial Industry Regulatory Authority fined Barclays Capital Inc. $3.75 million for systemic failures to preserve electronic records and certain emails and instant messages in the manner required for a period of at least 10 years.
Level of Government
: agency action
: Financial Industry Regulatory Authority
Civil or Criminal Case
HQ Country of Current Parent
: United Kingdom
Ownership Structure of Current Parent
: publicly traded
Major Industry of Current Parent
: financial services
Specific Industry of Current Parent
Source of Data
: (click here)
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Current parent company note
: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log