Disciplinary Actions

2018

Enforcement No. Title Date
No. 20160511443-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511443-01
R.W. Pressprich & Co.
5/21/2018
No. 20160511369-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511369-01
BMA Securities, LLC
5/21/2018
No. 20160511367-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511367-01
BB&T Securities, LLC
5/18/2018
No. 20130368360-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130368360-01
Instinet, LLC
4/11/2018
No. 20100215956-02 Order Accepting Offer of Settlement No. 20100215956-02
Lek Securities Corporation
2/27/2018