BX Disciplinary Actions

2015

Enforcement No. Title Date
No. 20130362207-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130362207-02
COR Clearing, LLC
12/29/2015
No. 20110291718-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110291718-01
Barclays Capital Inc.
07/10/2015
No. 20110277299-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110277299-03
Merrill Lynch, Pierce, Fenner & Smith Inc.
06/23/2015
No. 20120310864-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310864-02
First Clearing, LLC.
04/10/2015