Barclays Capital Inc. was fined a total of $2,250,000 for failing to establish and maintain a supervisory system and regulatory risk management controls reasonably designed to monitor for potential layering and spoofing of options.

Open to the Public Investing, Inc. was fined $350,000 for paying individuals with followings on social media sites to promote the firm in social media communications, some of which included statements that were not fair and balanced or made claims that were misleading or unwarranted.

BTG Pactual US Capital was fined $400,000 for failing to establish and implement policies and procedures for its anti-money laundering (AML) compliance program that could be reasonably expected to detect and cause the reporting of suspicious transactions.

Goldman Sachs & Co. was fined $1,450,000 for failing to accurately report data to the Consolidated Audit Trail (CAT) Central Repository for 36.6 billion order events and failed to reasonably supervise its compliance with its CAT reporting obligations.

Webull Financial was fined $1,600,000 for failing to establish, maintain, and enforce a reasonably designed supervisory system for social media communications promoting the firm.

TradeUp Securities, Inc. was fined $700,000 and affiliate US Tiger Securities, Inc. (US Tiger) was fined $250,000 for failing to develop and implement reasonably designed AML programs to detect and report potentially suspicious transactions.

Speedroute LLC was fined a total of $300,000 for failing to establish, document, and maintain risk management controls and supervisory procedures reasonably designed to manage the risks associated with its market access activity.

TP ICAP Global Markets Americas was fined a total of $80,000 for failing to establish and maintain a supervisory system reasonably designed to achieve compliance with FINRA rules prohibiting potentially manipulative trading.

Tigress Financial Partners was fined $100,000 for lacking an AML program reasonably designed to detect and report suspicious transactions.

Sanctuary Securities was fined $150,000 for failing to develop and implement an AML program reasonably designed to detect and cause the reporting of suspicious transactions.

Redbridge Securities was fined $475,000 for failing to establish and implement an AML compliance program reasonably designed to detect and cause the reporting of suspicious transactions by the firm’s customers, including potentially manipulative trading.

Robinhood Financial (online trading platform) and Robinhood Securities (clearing firm) was fined $26 million by FINRA for violating numerous FINRA rules, including failing to respond to red flags of potential misconduct.

Apex Clearing Corporation was fined $3.2 million for violations related to its fully paid securities lending program.

Avenue Securities was fined $300,000 for the entry of findings that its influencers’ social media communications promoting the firm were not fair and balanced or made claims that were promissory or misleading.

Wall Street Access was fined $125,000 for violating Rule 611(c) of Regulation National Market System (NMS) by failing to take reasonable steps to establish that the intermarket sweep orders (ISOs) it routed to certain market centers met the requirements for an ISO.

The SEC settled a range of SEC charges arising from the brokerage operations of Robinhood Securities LLC and Robinhood Financial LLC (collectively, “Robinhood”) for a combined $45 million in civil penalties.

J.P. Morgan Securities LLC was fined $3,000,000 for failing to accurately report short interest positions to FINRA.

Wells Fargo Clearing Services was fined $900,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it submitted approximately 22,000 blue sheets to FINRA that inaccurately reported one or more of 10 types of transaction information.

Moomoo Financial Inc. was fined $750,000 due to the entry of findings that its influencer communications were not fair and balanced and included misleading and promissory statements.

Morgan Stanley & Co. was fined $1,000,000 for failing to establish, document, and maintain a system of risk management controls and supervisory procedures reasonably designed to manage the financial risks of its market access business activity, including controls designed to prevent the entry of erroneous orders.