Between December 1, 2020 and May 23, 2022, Barclays effected 25,711 short sale orders without locating securities available to borrow, in violation of Rule 203(b)(1) of Regulation SHO of the Securities Exchange Act of 1934 and FINRA Rule 2010. Between December 2020 and September 2023, Barclays violated FINRA Rules 3110(a) and 2010 by failing to establish and maintain a supervisory system reasonably designed to achieve compliance with the locate requirements of Rule 203(b)(1) of Regulation SHO. For these violations, Barclays is censured and fined $140,000.

In January 2025, Still misused $15,000 in firm funds that were erroneously paid to him as commissions. As a result, Still violated FINRA Rule 2010 and is suspended for 18 months and fined $5,000.