ISE Disciplinary Actions
2023
| Enforcement No. |
Title |
Date |
| No. 2017056214409 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017056214409,
Jefferies LLC |
11/30/2023 |
| No. 20200651148 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20200651148,
Tradition Securities and Derivatives LLC |
11/07/2023 |
| No. 2019.09.0062 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.09.0062,
BGC Financial, L.P. |
7/19/2023 |
| No. 2022.03.0378 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2022.03.0378,
J.P. Morgan Securities LLC |
3/30/2023 |
2022
| Enforcement No. |
Title |
Date |
| No. 20180580170-04 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20180580170-04,
Global Execution Brokers, LP |
9/23/2022 |
| No. 2019061065703 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061065703,
Jefferies LLC |
8/23/2022 |
| No. 2019.12.0089 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.12.0089,
Wolverine Trading, LLC |
7/12/2022 |
| No. 2018060117903 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018060117903,
Dash Financial Technologies LLC |
5/16/2022 |
2021
| Enforcement No. |
Title |
Date |
| No. 2015046278302 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015046278302,
Citadel Securities LLC |
12/27/2021 |
| No. 2014043121003 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014043121003,
Deutsche Bank Securities Inc. |
9/10/2021 |
| No. 2019061058201 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061058201,
CTC, LLC |
7/21/2021 |
| No. 2017052473702 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017052473702,
Louis Capital Markets, LP |
1/8/2021 |
2020
| Enforcement No. |
Title |
Date |
| No. 2015048329303 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015048329303,
Morgan Stanley & Co. LLC |
6/3/2020 |
2019
| Enforcement No. |
Title |
Date |
| No. 2012033667302 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2012033667302,
Lek Securities Corporation |
12/17/2019 |
| No. 2017053132902 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053132902,
Tullett Prebon Financial Services LLC |
11/14/2019 |
| No. 2017053128903 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053128903,
CIBC World Markets Corp. |
10/28/2019 |
| No. 2016051745701 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051745701,
Citigroup Derivatives Markets Inc. |
1/25/2019 |
| No. 2015045758301 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045758301,
Lek Securities Corporation |
1/24/2019 |
2018
| Enforcement No. |
Title |
Date |
| No. 20140411279-05 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140411279-05,
Merrill Lynch, Pierce, Fenner & Smith Inc. |
9/26/2018 |
| No. 20170539365 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20170539365,
BGC Financial, L.P. |
9/14/2018 |
2017
| Enforcement No. |
Title |
Date |
| No. 20150455863-02 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150455863-02
Nomura Securities International, Inc. |
12/21/2017 |
| No. 20140418707-01 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140418707-01
BMO Capital Markets Corp. |
10/11/2017 |
| No. 20120313180-03 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120313180-03,
Goldman, Sachs & Co. LLC |
07/17/2017 |
2016
| Enforcement No. |
Title |
Date |
| No. 20130362578-02 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130362578-02,
Lime Brokerage LLC |
12/20/2016 |
| No. 20130374348-03 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130374348-03,
J.P. Morgan Securities LLC |
08/23/2016 |
| No. 20140402502 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140402502,
Interactive Brokers LLC |
08/23/2016 |
| No. 20150481528 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150481528
KCG Americas LLC |
08/23/2016 |
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