ISE Disciplinary Actions

2022

Enforcement No. Title Date
No. 20180580170-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20180580170-04,
Global Execution Brokers, LP
9/23/2022
No. 2019061065703 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061065703,
Jefferies LLC
8/23/2022
No. 2019.12.0089 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.12.0089,
Wolverine Trading, LLC
7/12/2022
No. 2018060117903 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018060117903,
Dash Financial Technologies LLC
5/16/2022