Barclays Capital Inc. (CRD #19714, New York, New York)
was censured, fined $155,000 and required to revise its Written Supervisory Procedures (WSPs) for allegedly submitting inaccurate short interest position reports to FINRA, and failed to report to FINRA its short interest positions.
FINRA's findings stated that Barclays Capital’s supervisory system did not provide for compliance with respect to the applicable securities laws and regulations, and FINRA rules, to ensure an adequate review of the firm’s short interest positions.
(FINRA Case #2011030505401)
This summation of information obtained from FINRA's Website "Disciplinary and Other Actions March 2015, ends here."
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