Disciplinary Actions

2016

Enforcement No. Title Date
No. 20100235180-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100235180-01
Citadel Securities, LLC
10/19/2016
No. 20120342559-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120342559-01
Nomura Securities International, Inc.
07/19/2016
No. 20130375865-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130375865-02
Essex Radcz LLC
07/11/2016
No. 20120316429-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120316429-02
Citigroup Global Markets Inc.
04/22/2016
No. 20120352200-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120352200-02
Vandham Securities Corp.
04/01/2016
No. 20100243866-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120323306-02
WEDB Securities LLC
02/25/2016
No. 20140416264-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140416264-01
WEDB Securities LLC
02/03/2016