September 23, 2014

Barclays Capital Inc.

Financial Fraud

SANCTION AMOUNT: $15,000,000

Defendants: Barclays Capital Inc.

Sanction in resolution of findings that Respondent failed in various ways in its integration of Lehman Brothers Inc.'s advisory business after acquiring it in 2008, including disclosure failures and charging wrongful commissions and fees. The alleged violations amounted to client losses of approximately $472,000 and additional revenue to Respondent of more than $3.1 million.

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