FINRA - Financial Industry Regulatory Authority

Barclays Capital Inc has agreed to pay a $100,000 fine and a disgorgement of $218,803.52. On March 8, 2019, Barclays violated Securities Exchange Act of 1934 Rule 14e-4 by over-tendering 270,000 shares in the partial tender offer of Company A.


Published on Dec. 23th, 2021 Published on Dec. 23th, 2021

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