UBS Financial was fined $20 million for repeatedly failing to establish and implement an AML compliance program reasonably expected to detect and cause the reporting of suspicious transactions involving foreign currency wires, resulting in a failure to reasonably monitor more than 60,000 transactions totaling $10 billion.

Mirae Asset Securities (USA) Inc. was fined $170,000 for failing to establish a supervisory system reasonably designed to achieve compliance with rules and laws prohibiting manipulative trading, including prearranged, coordinated, and momentum ignition trading.

DriveWealth, LLC was fined $1,100,000 for failing to report accurate and complete trade and order data to the trade reporting facilities (TRFs) and to the Consolidated Audit Trail (CAT) Central Repository.

Beta Capital Securities LLC was fined $145,000 for failing to develop and implement a reasonably designed AMLCP, including lack of money movement supervision.

Outset Global Trading Limited was fined $130,000 for failing to develop and implement a reasonably designed AML program with respect to customer surveillance.

AOS, Inc. dba TradingBlock was fined $210,000 for its anti-money laundering (AML) program was not reasonably designed to detect suspicious transactions.

Paulson Investment Company was fined $135,000 for violating Rule 203(b)(1) of Regulation SHO by effecting at least 15,000 short sale transactions representing approximately 64.5 billion shares for its own account without first borrowing the securities.

Pictet Overseas and Blue Ocean ATS were fined a total of $1.16 million for anti-money laundering (AML) and supervisory violations related to low-priced securities transactions.

Liquidnet, Inc. was fined $250,000 for publishing inaccurate monthly reports of executions of covered orders in National Market System (NMS) securities required under Regulation NMS Rule 605 of the Securities Exchange Act of 1934 (Exchange Act).

Barclays Capital Inc. was fined $140,000 for effecting short sale orders without locating securities available to borrow, in violation of Rule 203(b)(1) of Regulation SHO.

Great Point Capital LLC was fined $250,000 for failing to ahieving compliance with rules prohibiting manipulative trading.

The Ultima Global Markets (USA), Inc. fka BCS Global Markets was fined $100,000 for failing to establish and implement an AML program that could be reasonably expected to detect and cause the reporting of potentially suspicious activity relating to low-priced securities transactions in correspondent accounts controlled by the firm’s affiliated foreign financial institutions (FFIs), who traded on behalf of undisclosed customers.

Canaccord Genuity LLC was fined $20 million for failing to establish and maintain a supervisory system reasonably designed to supervise its securities transactions.

Herold & Lantern Investments, Inc. was fined $125,000 for failing to establish and implement an anti-money laundering (AML) compliance program reasonably designed to detect and cause the reporting of suspicious transactions in low-priced securities.

Folio Investments, Inc. dba Goldman Sachs Custody Solutions was fined $1.3 million for failing to conduct reasonable regular and rigorous reviews of execution quality.

Instinet, LLC was fined a total of $1.2 million for failing  to establish and maintain a supervisory system, including WSPs, reasonably designed to identify potentially manipulative trading by its clients.

Virtu Americas LLC was fined a total of $200,000 for failing to take reasonable steps to establish that intermarket sweep orders (ISOs) routed by the firm to certain market centers met the requirements for ISOs.

Cetera Advisors, LLC; Cetera Investment Services LLC; and Cetera Wealth Services, LLC were fined $1,100,000 for failing to have supervisory systems comply with Section 5 of the Securities Act of 1933, including deposits and sales of low-priced securities.

BNP Paribas Securities Corp. was fined $125,000 for failing to report over-the-counter (OTC) options positions to the Large Options Positions Reporting (LOPR) system as a result of separate issues arising out of transactions where the firm acted as an intermediary between its foreign affiliates and U.S.-based customers.

SogoTrade was fined $75,000 for failing to maintain a system of risk management controls and supervisory procedures reasonably designed to manage the financial, regulatory, and other risks of its market access business activity, including controls designed to prevent the entry of erroneous orders.