BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Robert R. Tweed, San Marino, CA, Respondent. DECISION Complaint No. 2015046631101r Dated: March 11, 2025. On remand from the Securities and Exchange Commission for redetermination of sanctions. Held, sanctions modified.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 102537 / March 7, 2025 Admin. Proc. File No. 3-19896 In the Matter of the Application of SILVER LEAF PARTNERS, LLC For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING FINRA member firm paid transaction-based compensation to non-members and failed to establish and implement effective systems to prevent such payments and to govern one of its business lines.

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.