Disciplinary Actions

2019

Enforcement No. Title Date
No. 2016051140601 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051140601
Janney Montgomery Scott, LLC
3/21/2019
No. 2016051141801 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051141801
OTA LLC, Respondent
2/8/2019
No. 2016051145101 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051145101
The Vertical Group. Respondent
2/1/2019
No. 2013039483301 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2013039483301
ITG Inc., Respondent
1/29/2019