April 24, 2016

Barclays Capital, Inc., censured and fined $500,000 by FINRA for failing to disclose information regarding investment banking services

April 24, 2016/ Jon Furgison

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Barclays Capital Inc. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

January 11, 2016

FINRA Fines Barclays Capital, Inc. $13.75 Million for Unsuitable Mutual Fund Transactions

January 11, 2016/ Jon Furgison

FINRA Sanctions Barclays Capital, Inc. $13.75 Million for Unsuitable Mutual Fund Transactions and Related Supervisory Failures

Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group

The Furgison Law Group represents retail and institutional investors around the world in securities arbitration and litigation. The firm represents clients before the Financial Industry Regulatory Authority (FINRA) [formerly the National Association of Securities Dealers (NASD)], the American Arbitration Association (AAA) and in numerous state and federal courts to resolve financial disputes between customers, financial advisers, banks, brokerage firms and other financial institutions.

Our firm has represented litigants in state and federal courts in California and across the country in a variety of business and professional liability disputes, including complex litigation and cases involving sophisticated theories of fraud, misrepresentations and omissions, professional negligence and breach of fiduciary duty.

Our headquarters are in Southern California, but we have a network of associate attorneys that allow us to serve clients from across the country and around the world.

We have recovered millions of dollars in investment losses for our clients and we look forward to helping you.

(310) 356-6890

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Furgison Law Group, PC (310) 356-6890
445 31st Street, Hermosa Beach, CA 90254
26901 Agoura Rd, Suite 180, Agoura Hills, CA 91301

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News and Investor Alerts on investment scams, financial adviser fraud and other stockbroker misconduct.

News and Investor Alerts on investment scams, financial adviser fraud and other stockbroker misconduct

Barclays Capital, Inc., censured and fined $500,000 by FINRA for failing to disclose information regarding investment banking services

FINRA Fines Barclays Capital, Inc. $13.75 Million for Unsuitable Mutual Fund Transactions

FINRA Sanctions Barclays Capital, Inc. $13.75 Million for Unsuitable Mutual Fund Transactions and Related Supervisory Failures

Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group

(310) 356-6890