Patents Assigned to Barclays Capital Inc.
  • Patent number: 8965868
    Abstract: A system and method for collecting and validating information in connection with the pre-employment process. A potential employee is presented with a plurality of questions relating to at least one of personal profile information, personal identification information, employment information, regulatory information, and policy acknowledgement information. One or more responses to the plurality of questions are received from the potential employee. The responses are stored in a database. Upon receiving the responses, at least one of (i) transmitting at least one of the responses to a third party service provider for validation; and (ii) reporting at least one of the responses to a regulatory body, an exchange or an association is automatically performed.
    Type: Grant
    Filed: November 15, 2006
    Date of Patent: February 24, 2015
    Assignee: Barclays Capital Inc.
    Inventors: Lori E. Blankstein, Susan Stack
  • Patent number: 8924933
    Abstract: A system includes a testing device to test a computer application in conjunction with a testing tool, the testing device including a test automation engine to initiate a test, the test automation engine including a programmable data source that is testing tool universal, the programmable data source including one or more automation test scripts that define the test and a data storage device to store results from testing the computer application.
    Type: Grant
    Filed: March 25, 2008
    Date of Patent: December 30, 2014
    Assignee: Barclays Capital Inc.
    Inventors: Ketan Doshi, Saiprasad Muzumdar, Shailendra Jadhav, Raj K. Singh
  • Patent number: 8898229
    Abstract: A contact management system is described having a first database containing proprietary information and a second database containing public information. Where appropriate, the publicly available information is displayed with the proprietary information to give the user more information about a contact. The multiple relationships provided by the public database allow the user to use both the proprietary and public data to find a relationship with a potential client.
    Type: Grant
    Filed: April 28, 2006
    Date of Patent: November 25, 2014
    Assignee: Barclays Capital Inc.
    Inventors: John Andrew Harvey, George Richard Black, Michael Joseph Catchpole, Richard H. Mai, Gerald John McCormack, Aiko Muro, Dante R. Sarigumba, George Tierney
  • Patent number: 8874500
    Abstract: The present invention generally relates to a computerized system and method for creating, optimizing, and using a rules processing system that evaluates multiple rules against facts and events and detects, identifies, reacts to, and reports on events of interest. Events of interest may pertain to any subject matter, and in an embodiment, relate to securities (e.g., stocks, bonds, etc.) transactions. The system and method of the present invention also identifies patterns in large data sets using dynamically changing rules, and as a result, makes the processing and use of rules more efficient.
    Type: Grant
    Filed: December 16, 2009
    Date of Patent: October 28, 2014
    Assignee: Barclays Capital Inc.
    Inventors: Daniel Sandholdt, Erick Berkowitz
  • Patent number: 8862981
    Abstract: A system includes a database, and a server, the server including a messaging module to generate one or more email messages, one or more of the one or more email messages each having attached thereto a form script file, and to send the one or more email messages over a communications network to a portable device, the one or more form script files including definitions of a form interface to be used by the portable device to render the form interface.
    Type: Grant
    Filed: August 16, 2007
    Date of Patent: October 14, 2014
    Assignee: Barclays Capital Inc.
    Inventors: Michael S. Margitich, Adam J. Halpern, Igor Dekhtyar
  • Patent number: 8861540
    Abstract: A system includes a client device and a server including a communication module configured to be accessed by the client device through which a user of the client device connects to another user via one of a plurality of communication services connected to the server, wherein one of the plurality of communication services is telephony.
    Type: Grant
    Filed: February 27, 2007
    Date of Patent: October 14, 2014
    Assignee: Barclays Capital Inc.
    Inventors: Benjamin Wu, Bridget Elizabeth O'Connor, Hari Gopalkrishnan
  • Patent number: 8819105
    Abstract: A system includes a data store and a server in communication with the data store. The server includes formatting modules having a plurality of formatters, validation modules having a plurality of validators, and a streaming module. The server is configured to receive messages containing financial transaction data from one or more electronic communication networks or one or more client devices. The formatters are configured for each of the electronic communication networks or client devices and convert the messages into an internal format of the streaming system. The validation modules are configured to perform a validation check on the one or more formatted messages.
    Type: Grant
    Filed: November 6, 2008
    Date of Patent: August 26, 2014
    Assignee: Barclays Capital Inc.
    Inventors: Jie Li, David Tazartes, Yukun Gou
  • Publication number: 20140222715
    Abstract: In one aspect, the invention comprises a method comprising issuing perpetual preferred securities that provide non-cumulative dividends with a fixed liquidation preference; wherein valuation of the securities upon redemption or conversion is based on market value of a specified number of common shares, and wherein the securities are operable to receive treasury stock method accounting. In various embodiments: (1) the securities receive C or D Basket treatment from Moody's; (2) the securities receive treasury stock method accounting because, upon conversion or redemption, common shares are issued only with respect to the valuation of the securities in excess of the fixed liquidation preference; and (3) upon conversion or redemption the number of common shares is equal to (A×B?C)/B, where A=a conversion rate, B=price per share of the common shares, and C=the fixed liquidation preference.
    Type: Application
    Filed: January 28, 2014
    Publication date: August 7, 2014
    Applicant: Barclays Capital, Inc.
    Inventors: Michael Sherman, Steven R. Halperin, Paul Robinson
  • Patent number: 8793362
    Abstract: A system includes one or more wireless handheld devices, one or more enterprise servers in communication with the one or more wireless handheld devices, and an enterprise server monitor in communication with the one or more enterprise servers to collect communications performance data from one or more of the one or more enterprise servers in communication with one or more of the one or more wireless handheld devices associated with a select group of users, and to generate one or more alerts if the collected communications performance data match one or more alert conditions, the one or more alert conditions being indicative of one or more levels of potential communication failures.
    Type: Grant
    Filed: November 29, 2007
    Date of Patent: July 29, 2014
    Assignee: Barclays Capital Inc.
    Inventors: Arif Khan, William J. Petz, Timothy J. Calabro
  • Patent number: 8793175
    Abstract: A Single Tranche Synthetic ABS product designed to replicate economics returns of structured finance collateralized debt obligations (SF CDO) securities, allow parties to express a leveraged and/or correlation view on a custom ABS portfolio by transferring a credit risk of a particular transacted tranche of a portfolio in swap format, and account for an available funds cap risk of the ABS securities within the underlying portfolio in a manner equivalent to a cash analog based on the same underlying portfolio with sequential pay structure.
    Type: Grant
    Filed: July 7, 2010
    Date of Patent: July 29, 2014
    Assignee: Barclays Capital Inc.
    Inventors: Jonathan Lai, Jeong Gu Lee
  • Patent number: 8744877
    Abstract: In one aspect, the invention comprises computer processors operable to identify a block of idealized policies, computer processors operable to calculate risk related to the block of idealized policies based on specified actuarial assumptions; and computer processors operable to provide a customized option designed to pay guaranteed minimum withdrawal benefits on the block of idealized policies; wherein the block of idealized policies is designed to replicate a current policy mix of an insurance company. In another aspect, the invention comprises computer processors operable to identify a block of idealized policies, computer processors operable to calculate risk related to the block of idealized policies based on specified actuarial assumptions; and computer processors operable to provide a reinsurance contract designed to pay guaranteed minimum death benefits on the block of idealized policies; wherein the block of idealized policies is designed to replicate a current policy mix of an insurance company.
    Type: Grant
    Filed: August 25, 2005
    Date of Patent: June 3, 2014
    Assignee: Barclays Capital Inc.
    Inventors: Alex Cowley, Craig Sabal, Dmitry Noraev, Doug McBeth, Llewellyn C. Connolly, Martin Klein, Pradip Ghosh, Russ Hackman
  • Patent number: 8725606
    Abstract: There is provided an arrangement for a money market note and a term note. The arrangement includes (1) a provision for crediting (a) a collection to (b) principal of the money market note, if the principal of the money market note is not fully credited, and (2) a provision for crediting (a) the collection to (b) principal of the term note, if the principal of the money market note is fully credited.
    Type: Grant
    Filed: August 21, 2003
    Date of Patent: May 13, 2014
    Assignee: Barclays Capital Inc.
    Inventors: Olaseni B. Duro-Emanuel, Diane M. Rinnovatore, Kent Peer-Nous, Michelle Suzanne Wernli, Konstantin Braun
  • Publication number: 20140114881
    Abstract: In one aspect, the invention comprises a computer-implemented method comprising: (i) electronically receiving data describing one or more risk factors driving volatility of each of a plurality of securities comprised in a specified portfolio; (ii) for each of the plurality of securities, categorizing each of the risk factors as a random variable and identifying a distribution that best fits each risk factor's historical behavior; and generating a return distribution for the security, based on the best fit distributions; and (iii) aggregating the security return distributions to generate a return distribution for in the specified portfolio. Other aspects and embodiments comprise analogous software and computer systems.
    Type: Application
    Filed: September 30, 2013
    Publication date: April 24, 2014
    Applicant: Barclays Capital Inc.
    Inventor: Attilio Meucci
  • Patent number: 8676688
    Abstract: In one aspect, the invention comprises a method comprising issuing perpetual preferred securities that provide non-cumulative dividends with a fixed liquidation preference; wherein valuation of the securities upon redemption or conversion is based on market value of a specified number of common shares, and wherein the securities are operable to receive treasury stock method accounting. In various embodiments: (1) the securities receive C or D Basket treatment from Moody's; (2) the securities receive treasury stock method accounting because, upon conversion or redemption, common shares are issued only with respect to the valuation of the securities in excess of the fixed liquidation preference; and (3) upon conversion or redemption the number of common shares is equal to (A×B?C)/B, where A=a conversion rate, B=price per share of the common shares, and C=the fixed liquidation preference.
    Type: Grant
    Filed: June 20, 2006
    Date of Patent: March 18, 2014
    Assignee: Barclays Capital, Inc.
    Inventors: Michael Sherman, Steven R. Halperin, Paul Robinson
  • Publication number: 20140058919
    Abstract: An exemplary aspect comprises receiving data related to an underlying asset; calculating values corresponding to near-term implied volatility and realized volatility for the underlying asset; and transmitting data sufficient to describe an index based on a difference between the values corresponding to the near-term implied volatility and the realized volatility for the underlying asset. Another exemplary aspect comprises receiving electronic data related to an underlying asset; calculating data sufficient to describe a plurality of call options and a plurality of put options related to the underlying asset and written on a first settlement date; crediting an account with proceeds from selling the call and put options; and debiting the account to settle one or more of the options that are in-the-money on a second settlement date. Other aspects are apparent from the description and claims.
    Type: Application
    Filed: September 16, 2013
    Publication date: February 27, 2014
    Applicant: BARCLAYS CAPITAL INC.
    Inventors: Michael Schmanske, Maneesh Deshpande, Rohit Bhatia, Yidong Ding, Pankaj Khandelwal
  • Publication number: 20140040658
    Abstract: A System and method of orchestrating failover operations of servers providing services to an internal computer network includes a DR server configured to execute a control script that performs a failover operation. Information needed to perform the failover operation is stored on the DR server thereby eliminating the need to store agents on each of the application's primary and backup servers. The DR server may provide a centralized location for the maintenance an update of the failover procedures for the internal network's redundant services. A failover operation may be initiated by an authorized user in communication with the internal computer network.
    Type: Application
    Filed: September 23, 2013
    Publication date: February 6, 2014
    Applicant: Barclays Capital Inc.
    Inventors: Robert S. Adler, Rodney N. Brown, Philip J. Brandenberger, Alexander Lazen, Michael Chung
  • Patent number: 8639606
    Abstract: In one aspect, the present invention comprises a method comprising: receiving data regarding bank rates and swap rates for two or more currencies; calculating a swap curve for each of the currencies; calculating signals for each of the swap curves; and based on the signals, taking a position with respect to each of the swap curves and currencies. In various embodiments, the method further comprises calculating a sub-index value for each of the currencies, the sub-index values based on returns for the positions; and weighting each sub-index value and calculating a value for an index, based on a combination of the sub-index values. In another aspect, the invention comprises: receiving data regarding the index; calculating a performance value for the index to be used in a derivative based on the index; and calculating an amount due to, or owed by, an investor in the derivative, based on the performance value.
    Type: Grant
    Filed: April 13, 2009
    Date of Patent: January 28, 2014
    Assignee: Barclays Capital Inc.
    Inventors: Rami Shakarchi, Jonathan Rogers, Laurent Marsan
  • Patent number: 8630928
    Abstract: There is provided a financial unit security. The financial unit security includes a secured debt security and an option. The secured debt security and the option are coupled together as a unit.
    Type: Grant
    Filed: December 31, 2003
    Date of Patent: January 14, 2014
    Assignee: Barclays Capital Inc.
    Inventors: Michael E. Sherman, Basil Williams, Diane Rinnovatore, Kent Peer-Nous, Henry Domenici
  • Patent number: 8601397
    Abstract: A system and method that allows a publisher to create a document series, associate a document with a document series and present to an end-user a series nugget displaying at least one document associated with the document series. Document series information may be inherited by each document in the document series. Document series information is stored in an asset database.
    Type: Grant
    Filed: November 30, 2005
    Date of Patent: December 3, 2013
    Assignee: Barclays Capital Inc.
    Inventors: Wayne Marcy, Hood Qa'Im-maqami
  • Patent number: 8572431
    Abstract: A system and method of orchestrating failover operations of servers providing services to an internal computer network includes a DR server configured to execute a control script that performs a failover operation. Information needed to perform the failover operation is stored on the DR server thereby eliminating the need to store agents on each of the application's primary and backup servers. The DR server may provide a centralized location for the maintenance and update of the failover procedures for the internal network's redundant services. A failover operation may be initiated by an authorized user in communication with the internal computer network.
    Type: Grant
    Filed: February 23, 2005
    Date of Patent: October 29, 2013
    Assignee: Barclays Capital Inc.
    Inventors: Robert S. Adler, Rodney N. Brown, Philip J. Brandenberger, Alexander Lazen, Michael Chung