Barclays Capital Inc. Securities Attorney

The securities lawyers of Gana LLP represent clients in disputes with their brokers and investments firms, such as Barclays Capital Inc. (Barclays). Our practice focuses on investigating claims of investment advisory wrongdoing including investment fraud, unsuitable advice, supervisory failures, and false advertising.

Barclays is affiliated with, under common control, or otherwise performs business under the company names Barclays Capital Fund Solutions, Barclays Securities Inc., Barclays Wealth, Barclays Wealth and Investment Management, and BZW Securities Inc..

Barclays is a British multinational financial services company. Barclays has operations in retail, wholesale, and investment banking, wealth management, mortgage lending, and credit cards. Barclays operates in over 50 countries and territories and has around 48 million customers.

Barclays – By the Numbers:

  • CRD# 19714
  • SEC# 8-41342
  • 33 Regulatory Events
  • Revenue: $50.2 billion
  • Net Income: $6.14 billion
  • Total Assets: $2.42 trillion - 2011
  • Employees: 139,900 - 2013

Barclays – In the News:

FINRA v. Barclays Capital Inc., Respondent, AWC No. 2011026679201 – The Financial Industry Regulatory Authority (FINRA) fined Barclays Capital Inc. $3.75 million concerning allegations of systemic failures to preserve electronic records, emails, and instant messages in the manner required for a period of at least 10 years. Securities laws require that business-related electronic records be kept in non-rewritable, non-erasable format to prevent alteration. The Securities and Exchange Commission (SEC) has stated that these requirements are an essential part of the investor protection. FINRA found that from at least 2002 to 2012, Barclays failed to preserve many of its required electronic books and records.

In the Matter of Barclays LIBOR –Barclays agreed to pay $450 million to resolve accusations that it had tried to manipulate rates to benefit the bank. Regulators say Barclays reported false figures that in some cases had influenced a benchmark for student loans, credit cards, and mortgages. Regulators alleged that big banks set certain rates to their own advantage to increase profits during the financial crisis and to lessen concerns that their financial health was in jeopardy. The benchmarks include the London interbank offered rate, or Libor, and the Euro interbank offered rate, or Euribor. In the Barclays case, regulators say they uncovered “pervasive” wrongdoing over a four-year period and was known by top employees of the firm including senior management and traders stationed in London, New York and Tokyo.

Our firm has represented investment clients in hundreds of disputes against their brokers and brokerage firms. Our attorneys can help you determine if there is wrongful activity in the handling of your accounts. Our consultations are free and we welcome all inquiries.

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