FINRA Fines Barclays $3.75M for Systemic Record and Email Retention
Failures - WSJ.com

FINRA also found that from May 2007 to May 2010, Barclays failed to
properly retain certain attachments to Bloomberg emails, and additionally
failed to properly retain approximately 3.3 million Bloomberg instant
messages from October 2008 to May 2010. In addition to violating FINRA, SEC
and NASD rules and regulations, this adversely impacted Barclay's ability
to respond to requests for electronic communications in regulatory and
civil matters.

Finally, Barclays failed to establish and maintain an adequate system and
written procedures reasonably designed to achieve compliance with SEC,
NASD, and FINRA rules and regulations, as well as to timely detect and
remedy deficiencies related to those requirements.


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