Disciplinary Actions

2022

Enforcement No. Title Date
No. 2018058781102 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018058781102
UBS Securities, LLC
5/3/2022
No. 2015044557301 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015044557301
Precision Securities, LLC
3/2/2022
No. 2020.01.0123 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.01.0123
SpeedRoute LLC
1/14/2022
No. 2014039952902 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014039952902
E*TRADE Securities LLC
1/10/2022