ViewTrade Securities was fined $250,000 for failing to establish and implement a written AML program reasonably expected to detect and cause the reporting of suspicious transactions.

Gar Wood Securities was fined $100,000 for failing to comply with the locate requirement of Rule 203 of Regulation SHO of the Exchange Act whereby the firm inadvertently configured its delivery-versus-payment (DVP) client accounts to allow short sale orders entered into the firm’s order management systems (OMS) to route for execution without obtaining locates.

Sagetrader, LLC was fined a total of $775,000 for failing to reasonably supervise for potentially manipulative trading on its platforms.

Barclays Capital Inc. was fined $2.8 million for inaccurately disclosing its execution capacity, the customer price, or whether the trade was executed on an average price on an estimated 245.4 million confirmations and also recorded an inaccurate market center of execution on an estimated 24.8 million confirmation records.

National Securities Corporation was fined $9 million for attempting to artificially influence the market for offered securities and another $3.6 million for failing to disclose material information to customers who purchased private placements.

SunTrust Robinson Humphrey, Inc. nka Truist Securities, Inc. was censured and fined $1,250,000 for engaging in principal trading designed to increase the trading volume in certain securities and overstated its advertised trading volume in those securities.

ETC was fined a total of $70,000 for failing to establish and maintain a supervisory system reasonably designed to achieve compliance with Rule 200(g) of Regulation SHO in that it no supervisory system reasonably designed to check that it was correctly marking sell orders.

UBS Securities LLC was fined a total of $250,000 for providing market access to two affiliates without accounting for those affiliates in its financial risk management controls.

The Securities and Exchange Commission charged 16 defendants, located in the Bahamas, the British Virgin Islands, Bulgaria, Canada, the Cayman Islands, Monaco, Spain, Turkey, and the United Kingdom, for participating in multi-year fraudulent penny stock schemes that generated more than $194 million in illicit proceeds.

Barclays Capital Inc. was fined $350,000 for failing to apply market access controls and procedures to orders routed by one of its risk management systems because it mistakenly treated that system as not having order entry and execution capabilities.

Liquidnet, Inc. was fined $50,000 for publishing inaccurate data in monthly reports it was required to publish pursuant to Regulation NMS Rule 605.

First Manhattan Co. was fined $250,000 for failing to establish and maintain a supervisory system reasonably designed to achieve compliance with Section 5 of the Securities Act. The findings stated that the firm’s WSPs were not reasonably designed to avoid becoming a participant in the potential unregistered distribution of securities.

DriveWealth Institutional LLC fka Cuttone & Co., LLC was fined $100,000 for violating Rule 203(b)(1) of Regulation SHO of the Exchange Act by failing to obtain locates for short sales.

Jefferies LLC was fined a total of $200,000 for failing to take reasonable steps to establish that the intermarket sweep orders (ISOs) it routed met the requirements set forth in Rule 600(b)(30) of Regulation NMS.

E*TRADE Securities was fined a total of $350,000 for failing to establish and maintain a supervisory system reasonably designed to detect potentially manipulative trading by its customers.

RBC Capital Markets, LLC was fined $2,600,000 for failing to report, and inaccurately reported, over-the-counter (OTC) options positions to the Large Options Positions Reporting System (LOPR).

Intesa Sanpaolo IMI Securities Corp. was fined $650,000 for failing to establish an AML compliance program reasonably designed to detect, monitor, and cause the reporting of potentially suspicious activity relating to low-priced securities transactions.

Glendale Securities, Inc. was fined $155,000 and ordered to retain a consultant to review and revise its anti-money laundering (AML) related procedures to appropriately tailor them to its microcap stock liquidation business model.

J.P. Morgan Clearing Corporation nka J.P. Morgan Securities LLC was fined a total of $300,000 for failing to comply with SEC Regulation SHO Rule 204 in that the firm attempted to allocate certain fail to deliver positions caused by two introducing broker-dealers.

Ascendiant Capital Markets, LLC was fined $35,000 for violating Rule 203(b)(1) of Regulation SHO of the Exchange Act by impermissibly relying on the market maker exception and failing to comply with the locate requirement of Regulation SHO.