Barclays $200M SEC Fair Fund

Late claims are being considered for compensation, subject to approval.

$200,000,000

Cash Settlement

SEC

Court

3-21181

Case number

06/26/2019

Class period Start

03/27/2022

Class period End

03/31/2026

Claim deadline

Barclays ($BCS; $BARC) will pay $200 million through the SEC Fair Fund to investors, resolving claims that it sold billions in unregistered securities due to internal control failures.

Case Type

SEC Fair Fund

Case Status

Accepting Late Claims

Alleged Offence

Breach of Fiduciary duty,

Omissions

Suspected Party

Management,

Service Provider

Security Type

Depository Securities (ADS, ADR, GDR)

Trade Direction

Long

Payout per Share

0.03

Plaintiffs

U.S. Securities and Exchange Commission (SEC)

Defendants

Barclays PLC; Barclays Bank PLC

Administrator

KCC

Trades matching type

FIFO

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