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.

Celadon Financial Group was fined $195,000 and its CCO was fined $5,000 and suspended for publishing quarterly reports that provided inaccurate information about its handling of customers’ orders in NMS securities and failure to implement a reasonable AMLCP to facilitate low-priced securities transactions.

ViewTrade Securities, Inc. was fined $40,000 for failing to establish, maintain, and enforce a supervisory system, including written procedures, reasonably designed to supervise the outside brokerage accounts disclosed by its registered representatives.

Maxim Group LLC was fined $75,000 for publishing public quarterly reports on its handling of customers’ orders in NMS securities that failed to disclose required information and provided incomplete or inaccurate information.

CICC US Securities was fined $300,000 for failing to establish and implement an AML compliance program that described the factors to consider when performing surveillance for potential market manipulation, including a description of the potential types of market manipulation or information about how such surveillance should be documented.

TD Bank, the 10th largest bank in the United States, pleaded guilty and agreed to pay over $1.8 billion in penalties to resolve the U.S. Justice Department’s investigation into violations of the Bank Secrecy Act (BSA) and money laundering.

Citadel Securities LLC was fined $1 million for failing to properly report data for billions of equity and option order events over 4 years to the Consolidated Audit Trail (“CAT”).

IMC-Chicago, LLC dba IMC Financial Markets was fined $1.2 million for failing to timely and accurately report to the Consolidated Audit Trail (CAT) Central Repository 28.7 billion equity and options order events.

TD Securities (USA) LLC was fined $6,000,000 for findings that it engaged in instances of spoofing in U.S. Treasury securities through a former trader who worked on, and later became the head of, its U.S. Treasury trading desk.