Violation Tracker Individual Record
Company:
Barclays Capital Inc.
Current Parent Company:
Barclays
Penalty:
$35,000,000
Year:
2016
Date:
February 1, 2016
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Violation Description:
Barclays Capital Inc. agreed to pay $35 million to New York to settle allegations that it misled investors by making false statements and omissions in connection with the marketing of its dark pools and other high-speed electronic equities trading services.
Level of Government:
state
Action Type:
agency action
Agency:
New York Attorney General
Civil or Criminal Case:
civil
Facility State:
New York
HQ Country of Parent:
United Kingdom
Ownership Structure of Parent:
publicly traded
Major Industry of Parent:
financial services
Specific Industry of Parent:
banking
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
