Disciplinary Actions

2015

Enforcement No. Title Date
No. 20120323306-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120323306-02
UBS Securities LLC
12/29/2015
No. 20120336954-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120336954-01
Credit Suisse Securities (USA) LLC
09/11/2015
No. 20120337081-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120337081-01
VFinance Investments, Inc.
7/16/2015
No. 20100254907-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100254907-01
Chardan Capital Markets LLC
6/17/2015
No. 20120348379-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120348379-01
Citadel Securities LLC
6/04/2015
No. 20120310864-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310864-01
Stock USA Execution Services, Inc.
04/10/2015
No. 20100243866-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100243866-01
Scout Trading, LLC.
04/07/2015