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424-835-5733 | 310-525-3516
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You may have lost money in your investment portfolio,
due to mismanagement and not even know it.

Posts tagged "Barclays"

Did Barclays' Failure to Supervise Your Securities Account(s) and Investment Managers From 2010 Through 2014 Result In Significant Underperformance Of Your Account(s)?

The Securities and Exchange Commission ("SEC") has found Barclays Capital in violation of several sections of the Investment Advisers Act of 1940, Rule 206(4)-7, and the Securities Act of 1933. Without admitting or denying those findings, Barclays has agreed to a cease and desist order and to pay $97 million for the return of "advisory fees" for account supervision and due diligence that was never performed, interest, and a penalty of $30 million to the SEC.

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