BofA Securities, Inc. was fined $24 million for engaging in more than 700 instances of spoofing through two former traders in U.S. Treasury secondary markets and related supervisory failures spanning more than six years.

Maxim Group LLC was fined $500,000 for failing to maintain and enforce written procedures, reasonably designed to achieve compliance with Section 5 of the Securities Act.

Goldman Sachs & Co. LLC was fined $6 million dollars for having submitted blue sheets to FINRA that inaccurately reported one or more of 39 separate types of transaction information.

Citadel Securities was fined $7 million for incorrectly marking millions of orders over a 5-year period, inaccurately denoting that certain short sales were long sales and vice versa.

Citigroup Global Markets Inc. fined $250,000 in that it issued inaccurate trade confirmations to customers in connection with its principal trading activity on its alternative trading system (ATS).

Electronic Transaction Clearing, Inc. fined $3 million dollars for failing to reasonably supervise for potentially manipulative trading.

The SEC settled charges with Citadel Securities LLC for a $7 million penalty for violating a provision of Regulation SHO, the regulatory framework designed to address abusive short selling practices, which requires broker-dealers to mark sale orders as long, short, or short exempt.

Instinet, LLC was fined a total of $450,000 for violating Rule 611(c) of Regulation National Market System (Regulation NMS) of the Securities Exchange Act of 1934 and FINRA Rule 2010 by failing to take reasonable steps to establish that the intermarket sweep orders (ISOs) it routed to certain market centers met the requirements set forth in Exchange Act Rule 600(b)(31).

BGC Financial was fined $50,000 for failing to include two proprietary accounts in calculations of its overall net position in equity securities (e.g., “short” or “long”) being sold, which ultimately caused certain orders to be mismarked under Regulation SHO Rule 200(g).

Open to the Public Investing was fined $500,000 for failing to meet its best execution obligations.

Evercore Group was fined $100,000 for failing to establish, document, and maintain reasonably designed credit threshold controls.

J.P. Morgan Securities LLC was fined a total of $750,000 for findings that its financial risk management controls and supervisory procedures were not reasonably designed to prevent certain erroneous orders that exceeded appropriate price or size parameters.

Goldman Sachs & Co. was fined $3,000,000 for erroneously mismarking and routing certain sell orders. The findings stated that the firm mismarked approximately 60 million short sell orders as long, of which 26,944,700 were sent to an ATS.

Fenix Securities, LLC was fined $100,000 - and required to certify that it has remediated the issues identified in the AWC and implemented a supervisory system, including WSPs, and a documented system of risk management controls, including pre-order erroneous order controls, reasonably designed to achieve compliance with SEA Rule 15c3-5- for failing to establish, document, and maintain a system of risk management controls reasonably designed to manage the financial risks of its market access business activity.

SageTrader, LLC was fined $100,000 for failing to establish and implement anti-money laundering (AML) policies and procedures reasonably expected to detect and cause the reporting of suspicious activity.

Raymond James & Associates was fined $300,000 for issuing customers trade confirmations that inaccurately disclosed the firm’s execution capacity or whether the trade was executed at an average price, or inaccurately disclosed or omitted its status as a market maker in the security.

Wedbush Securities Inc. fined a total of $975,000 for failing to review electronic trading customers’ trading activities for potential manipulation.

Clearview Trading Advisors, Inc. was fined $100,000, and its General Securities Principal (GSP) was fined $25,000 and temporary suspended, for failing to establish and implement an anti-money laundering (AML) compliance program reasonably designed to detect and cause the reporting of suspicious activity in low-priced securities.

Scotia Capital was fined $300,000 for overreporting its short interest positions.

Barclays Capital Inc. (Barclays Capital) was fined $2 million for failing to comply with its best execution obligations in connection with its customers’ electronic equity orders.