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ISE Disciplinary Actions
2024
| Enforcement No. | Title | Date |
|---|---|---|
| No. 2020067485607 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020067485607, BofA Securities, Inc. |
4/30/2024 |
2023
| Enforcement No. | Title | Date |
|---|---|---|
| No. 2017056214409 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017056214409, Jefferies LLC |
11/30/2023 |
| No. 20200651148 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20200651148, Tradition Securities and Derivatives LLC |
11/07/2023 |
| No. 2019.09.0062 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.09.0062, BGC Financial, L.P. |
7/19/2023 |
| No. 2022.03.0378 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2022.03.0378, J.P. Morgan Securities LLC |
3/30/2023 |
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 |
2021
| Enforcement No. | Title | Date |
|---|---|---|
| No. 2015046278302 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015046278302, Citadel Securities LLC |
12/27/2021 |
| No. 2014043121003 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014043121003, Deutsche Bank Securities Inc. |
9/10/2021 |
| No. 2019061058201 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061058201, CTC, LLC |
7/21/2021 |
| No. 2017052473702 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017052473702, Louis Capital Markets, LP |
1/8/2021 |
2020
| Enforcement No. | Title | Date |
|---|---|---|
| No. 2015048329303 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015048329303, Morgan Stanley & Co. LLC |
6/3/2020 |
2019
| Enforcement No. | Title | Date |
|---|---|---|
| No. 2012033667302 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2012033667302, Lek Securities Corporation |
12/17/2019 |
| No. 2017053132902 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053132902, Tullett Prebon Financial Services LLC |
11/14/2019 |
| No. 2017053128903 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053128903, CIBC World Markets Corp. |
10/28/2019 |
| No. 2016051745701 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051745701, Citigroup Derivatives Markets Inc. |
1/25/2019 |
| No. 2015045758301 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045758301, Lek Securities Corporation |
1/24/2019 |
2018
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20140411279-05 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140411279-05, Merrill Lynch, Pierce, Fenner & Smith Inc. |
9/26/2018 |
| No. 20170539365 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20170539365, BGC Financial, L.P. |
9/14/2018 |
2017
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20150455863-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150455863-02 Nomura Securities International, Inc. |
12/21/2017 |
| No. 20140418707-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140418707-01 BMO Capital Markets Corp. |
10/11/2017 |
| No. 20120313180-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120313180-03, Goldman, Sachs & Co. LLC |
07/17/2017 |
2016
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20130362578-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130362578-02, Lime Brokerage LLC |
12/20/2016 |
| No. 20130374348-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130374348-03, J.P. Morgan Securities LLC |
08/23/2016 |
| No. 20140402502 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140402502, Interactive Brokers LLC |
08/23/2016 |
| No. 20150481528 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150481528 KCG Americas LLC |
08/23/2016 |
