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Monthly Archives: May 2017

SEC Fines Barclays Again: $97MM Is The Second Fine In Under 2 Weeks

As a follow-up to my last article, on Wednesday the SEC announced that it has fined Barclays Capital more than $97 million for overcharging three sets of clients by almost $50 million.  The violations took place from September 2010 - December 2015. This was the second time in less than two weeks that the SEC [...]

May 15th, 2017|Uncategorized|

SEC Fines Barclays Over $12.7 Million For RMBS Supervisory Failures

A preliminary question that many potential SEC whistleblowers ask is whether the SEC has jurisdiction to investigate the type of fraud or misconduct that they have uncovered.  A potential whistleblower will often raise this question in his or her first conversation with an SEC whistleblower lawyer. Among the types of cases that the SEC investigates [...]

May 3rd, 2017|Uncategorized|