From February 2021 to August 5, 2023, Monkman-Kotz was included on more than 4,000 WeChat messages to or from other Velox Clearing LLC personnel and Velox customers relating to the firm’s business, some of which she sent. Velox neither supervised nor retained those WeChat messages. By causing Velox to maintain incomplete books and records, Monkman-Kotz violated FINRA Rules 4511 and 2010 and is suspended for one month and fined $5,000.

Between September 2018 and September 2019, Barth made material misrepresentations and omissions in connection with marketing private placement offerings to other selling representatives at his firm and recommending those offerings to his own customers.

Between January 2018 and May 2022, NewEdge violated MSRB Rules G-11 and G-17 by submitting orders for new issue municipal bonds without disclosing that the bondswere for the firm's dealer account.