ISE Disciplinary Actions

2021

Enforcement No. Title Date
No. 2019061058201 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2019061058201,
CTC, LLC
7/21/2021
No. 2017052473702 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2017052473702,
Louis Capital Markets, LP
1/8/2021