Disciplinary Actions
2024
Enforcement No. | Title | Date |
---|---|---|
No. 2017055087002 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017055087002 Merrill Lynch, Pierce, Fenner & Smith, Incorporated |
8/28/2024 |
No. 2021.09.0341 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2021.09.0341 TradeLink Securities, LLC |
8/19/2024 |
No. 2018060986402 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018060986402 SpeedTrader, Inc. |
7/31/2024 |
No. 2020066382602 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020066382602 BofA Securities, Inc. |
5/28/2024 |
No. 2020.01.0108 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.01.0108 Interactive Brokers LLC |
4/25/2024 |
No. 2019064352202 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019064352202 GTS Securities LLC |
3/13/2024 |
No. 2019063499507 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019063499507 Goldman Sachs & Co. LLC |
2/06/2024 |
2023
Enforcement No. | Title | Date |
---|---|---|
No. 2017055657511 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017055657511 Electronic Transaction Clearing, Inc. |
09/08/2023 |
No. 2021.05.0319 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2021.05.0319 RBC Capital Markets, LLC |
06/12/2023 |
No. 2018058111302 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018058111302 J.P. Morgan Securities LLC |
5/22/2023 |
No. 2018057188802 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018057188802 Regal Securities, Inc. |
4/17/2023 |
No. 2018059146502 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018059146502 Goldman Sachs & Co. LLC |
4/4/2023 |
No. 2017054491009 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017054491009 Wedbush Securities Inc. |
1/19/2023 |
2022
Enforcement No. | Title | Date |
---|---|---|
No. 2021.05.318 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2021.05.318 BofA Securities, Inc. |
11/29/2022 |
No. 2019061702710 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061702710 Vision Financial Markets LLC |
9/16/2022 |
No. 2018056929907 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018056929907 Morgan Stanley & Co. LLC |
9/28/2022 |
No. 2020.05.0170 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.05.0170 D.A. Davidson & Co. |
7/25/2022 |
No. 2017053210202 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053210202 Sagetrader, LLC |
7/20/2022 |
No. 2015047957002 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015047957002 T.R. Winston & Company, LLC |
6/29/2022 |
No. 2015045823202 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045823202 Stifel, Nicolaus & Company, Inc. |
6/14/2022 |
No. 2018058781102 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018058781102 UBS Securities, LLC |
5/3/2022 |
No. 2015044557301 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015044557301 Precision Securities, LLC |
3/2/2022 |
No. 2020.01.0123 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.01.0123 SpeedRoute LLC |
1/14/2022 |
No. 2014039952902 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014039952902 E*TRADE Securities LLC |
1/10/2022 |
2021
Enforcement No. | Title | Date |
---|---|---|
No. 2015046278305 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015046278305 Citadel Securities LLC |
12/27/2021 |
No. 2018059368301 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018059368301 Roth Capital Partners, LLC |
10/25/2021 |
No. 2017055996902 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017055996902 Piper Sandler & Co. (f/k/a Sandler O’Neill & Partners, L.P.) |
8/4/2021 |
No. 2015044078202 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015044078202 CODA Markets. Inc. (f/k/a PDQ ATS. Inc.) |
7/28/2021 |
No. 2018057166104 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018057166104 Wolverine Execution Services, LLC |
5/24/2021 |
No. 2017055595901 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017055595901 National Financial Services, LLC |
5/10/2021 |
No. 2020.01.0096 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.01.0096 Needham & Company, LLC |
4/12/2021 |
No. 2013038684003 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2013038684003 Merrill Lynch, Pierce, Fenner & Smith Incorporated |
3/30/2021 |
No. 2015045017001 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045017001 RBC Capital Markets, LLC |
3/9/2021 |
2020
Enforcement No. | Title | Date |
---|---|---|
No. 2020.01.0095 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.01.0095 Paulson Investment Company LLC |
12/2/2020 |
No. 2019.10.0074 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.10.0074 Keefe, Bruyette & Woods, Inc. |
11/2/2020 |
No. 2019.06.0052 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.06.0052 William Blair & Company, L.L.C. |
9/1/2020 |
No. 2019.08.0061 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.08.0061 Sandler, O’Neill & Partners, L.P. |
8/7/2020 |
No. 2015045755511 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045755511 Douglas A. Sanzone |
7/23/2020 |
No. 2015045755502 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045755502 John Grifonetti |
7/23/2020 |
No. 2018057166402 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018057166402 Precision Securities, LLC |
7/17/2020 |
No. 2019.07.0056 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.07.0056 INTL FCStone Financial Inc. |
7/9/2020 |
No. 2015049918101 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015049918101 Charles Schwab & Co., Inc. |
5/27/2020 |
No. 2017054051802 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017054051802 Seaport Global Securities LLC |
5/13/2020 |
No. 2019.04.0040 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.04.0040 Network I Financial Securities Inc. |
4/8/2020 |
No. 2015045163501 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045163501 Cantor Fitzgerald & Co. |
3/16/2020 |
No. 2017056210702 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017056210702 ITG Inc. n/k/a Virtu ITG, LLC |
2/03/2020 |
No. 2019.06.0053 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.06.0053 Fordham Financial Management, Inc. |
1/16/2020 |
2019
Enforcement No. | Title | Date |
---|---|---|
No.2012034704502 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2012034704502 Credit Suisse Securities (USA) LLC |
12/23/2019 |
No. 2014040293002 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014040293002 Cowen & Company, LLC |
12/17/2019 |
No. 2011029713005 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2011029713005 Lek Securities Corporation |
12/17/2019 |
No. 2014043557405 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014043557405 Jefferies Execution Services, Inc. n/k/a Jefferies LLC |
12/12/2019 |
No. 2019.05.0046 | Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2019.05.0046, StockCross Financial Services, Inc. |
11/08/2019 |
No. 2019.04.0041 | Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2019.04.0041, RBC Capital Markets, LLC |
10/28/2019 |
No. 2013037572602 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2013037572602 Lime Brokerage, LLC |
8/15/2019 |
No. 2012035187502 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2012035187502 Clear Street Markets, LLC |
7/25/2019 |
No. 2013038210401 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2013038210401 Aegis Capital Corp. |
7/10/2019 |
No. 2014042373805 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014042373805 Clearpool Execution Services, LLC |
7/10/2019 |
No. 2016051145401 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051145401 Virtu Financial BD LLC |
7/08/2019 |
No. 2016051144701 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051144701 Citigroup Global Markets Inc. |
6/10/2019 |
No. 2017056712301 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017056712301 Merrill Lynch, Pierce, Fenner & Smith Incorporated |
5/20/2019 |
No. 2016051141401 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051141401 Mizuho Securities USA Inc. |
4/2/2019 |
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 |
2/8/2019 |
No. 2016051145101 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051145101 The Vertical Group |
1/31/2019 |
No. 2013039483301 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2013039483301 ITG Inc. |
1/29/2019 |
2018
Enforcement No. | Title | Date |
---|---|---|
No. 2015046871502 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015046871502 Chardan Capital Markets LLC |
12/13/2018 |
No. 2016051145501 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051145501 Wedbush Securities Inc. |
12/10/2018 |
No. 20160511397-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511397-01 IMC Financial Markets |
11/12/2018 |
No. 20160511383-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511383-01 Deutsche Bank Securities Inc. |
11/06/2018 |
No. 20150483276-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150483276-01 SG Americas Securities, LLC |
10/24/2018 |
No. 20150467692-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150467692-03 GTS Securities LLC |
9/25/2018 |
No. 20120314807-21 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-21 Simon Librati |
8/30/2018 |
No. 20120314807-07 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-07 Maurice Bensoussan |
8/29/2018 |
No. 20160511439-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511439-01 SunTrust Robinson Humphrey, Inc. |
8/28/2018 |
No. 20120346239-05 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120346239-05 Morgan Stanley & Co. LLC |
8/23/2018 |
No. 20160511376-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511376-01 Chardan Capital Markets LLC |
7/2/2018 |
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 |
2017
Enforcement No. | Title | Date |
---|---|---|
No. 20130371845-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130371845-01 Jefferies LLC |
12/18/2017 |
No. 20150442002-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150442002-01 G1 Execution Services, LLC |
12/11/2017 |
No. 20130354682-02 | Order Accepting Offer of Settlement No. 20130354682-02 Lightspeed Trading, LLC |
11/09/2017 |
No. 20140437801-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140437801-01 Merrill Lynch, Pierce, Fenner & Smith Incorporated |
10/31/2017 |
No. 20150457981-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150457981-04 GTS Securities LLC |
10/26/2017 |
No. 20150442333-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150442333-03 Chimera Securities, LLC |
10/04/2017 |
No. 20140423775-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140423775-01 Ronin Capital, LLC |
9/26/2017 |
No. 20140416350-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140416350-03 RBC Capital Markets, LLC |
9/20/2017 |
No. 20150480820-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150480820-01 Aegis Capital Corp. |
9/20/2017 |
No. 20140412867-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140412867-01 Dawson James Securities, Inc. |
9/01/2017 |
No. 20130393135-05 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130393135-05 Deutsche Bank Securities Inc. |
7/27/2017 |
No. 20160489184-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160489184-01 Raymond James & Associates, Inc. |
7/17/2017 |
No. 20140399285-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140399285-01 GFI Securities LLC |
7/17/2017 |
No. 20150458588-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150458588-01 TD Securities (USA) LLC |
7/11/2017 |
No. 20120348296-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120348296-03 J.P. Morgan Securities LLC |
6/28/2017 |
No. 20130354629-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130354629-04 Citigroup Global Markets Inc. |
6/09/2017 |
No. 20120347730-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120347730-02 Interactive Brokers, LLC |
5/23/2017 |
No. 20140411317-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140411317-02 Old Mission Capital, LLC |
5/3/2017 |
No. 20130391658-05 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130391658-05 Two Sigma Securities, LLC |
4/6/2017 |
No.20130365748-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130365748-01 Barclays Capital, Inc. |
4/5/2017 |
No. 20120316421-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120316421-01 Morgan Stanley & Co. LLC |
4/5/2017 |
No. 20150444790-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150444790-01 Xambala Capital, LLC |
1/24/2017 |
No. 20140414536-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140414536-01 R.W. Pressprich & Co. |
1/19/2017 |
No. 20110289645-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110289645-02 Maxim Group LLC |
1/4/2017 |
No. 20080148227-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080148227-04 Ben James Raatz |
1/3/2017 |
No. 20080148227-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080148227-03 Lawrence R. Kajmowicz |
1/3/2017 |
2016
Enforcement No. | Title | Date |
---|---|---|
No. 20140413222-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140413222-01 Tradebot Systems, Inc. |
12/20/2016 |
No. 20130385533-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130385533-01 SAL Equity Trading, GP (f/k/a Susquehanna Capital Group) |
12/16/2016 |
No. 20140438204-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140438204-02 Cantor Fitzgerald & Co. |
12/05/2016 |
No. 20120332393-05 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120332393-05 ABN AMRO Clearing Chicago LLC |
11/14/2016 |
No. 20150480828-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150480828-01 Maxim Group LLC |
11/07/2016 |
No. 20150449128-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150449128-01 Wells Fargo Securities, LLC |
11/02/2016 |
No. 20140430990-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430990-02 Jump Trading, LLC |
10/31/2016 |
No. 20100235180-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100235180-01 Citadel Securities, LLC |
10/19/2016 |
No. 20150442330-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150442330-02 BNY Mellon Capital Markets, LLC |
10/07/2016 |
No. 20160490438-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160490438-02 Citigroup Global Markets Inc. |
09/27/2016 |
No. 20140416239-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140416239-01 Aegis Capital Corp. |
09/02/2016 |
No. 20120342559-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120342559-01 Nomura Securities International, Inc. |
07/19/2016 |
No. 20130375865-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130375865-02 Essex Radcz LLC |
07/11/2016 |
No. 20120316429-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120316429-02 Citigroup Global Markets Inc. |
04/22/2016 |
No. 20120352200-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120352200-02 Vandham Securities Corp. |
04/01/2016 |
No. 20120344551-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120344551-02 Ascendiant Capital Markets, LLC |
03/11/2016 |
No. 20100243866-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120323306-02 WEDB Securities LLC |
02/25/2016 |
No. 20130379324-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130379324-02 Marcus Carlos Rodriguez |
02/25/2016 |
No. 20140416264-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140416264-01 WEDB Securities LLC |
02/03/2016 |
2015
Enforcement No. | Title | Date |
---|---|---|
No. 20120323306-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120323306-02 UBS Securities LLC |
12/29/2015 |
No. 20110288918-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110288918-02 Canaccord Genuity Inc. |
11/13/2015 |
No. 20120336954-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120336954-01 Credit Suisse Securities (USA) LLC |
09/11/2015 |
No. 20120337081-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120337081-01 VFinance Investments, Inc. |
7/16/2015 |
No. 20100254907-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100254907-01 Chardan Capital Markets LLC |
6/17/2015 |
No. 20120348379-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120348379-01 Citadel Securities LLC |
6/04/2015 |
No. 20120321457-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120321457-01 D.A. Davidson & Co. |
5/01/2015 |
No. 20120310864-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310864-01 Stock USA Execution Services, Inc. |
04/10/2015 |
No. 20100243866-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100243866-01 Scout Trading, LLC. |
04/07/2015 |
No. 20130390807-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130390807-01 Stifel, Nicolaus & Company, Incorporated |
03/04/2015 |
2014
Enforcement No. | Title | Date |
---|---|---|
No. 20130358293-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130358293-02 First Clearing, LLC. |
12/19/2014 |
No. 20100238966-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100238966-02 Instinet, LLC. |
12/19/2014 |
No. 20120351796-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120351796-01 Lime Brokerage LLC |
12/12/2014 |
No. 20120316473-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120316473-02 TradeStation Securities Inc. |
12/05/2014 |
No. 20120310292-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310292-01 J.P. Morgan Securities LLC. |
10/28/2014 |
No. 20120334855-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120334855-01 Aegis Capital Corp. |
10/15/2014 |
No. 20120337068-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120337068-01 Stifel, Nicolaus & Company, Inc. |
9/25/2014 |
No. 20110294841-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110294841-01 Lightspeed Trading, LLC |
8/27/2014 |
No. 20120309147-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120309147-01 Merrill Lynch, Pierce, Fenner & Smith Inc. |
8/7/2014 |
No. 20120328903-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120328903-01 StockCross Financial Services, Inc. |
7/31/2014 |
No. 20120330808-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120330808-01 Jump Trading, LLC |
7/22/2014 |
No. 20120344050-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120344050-01 Janney Montgomery Scott LLC |
7/11/2014 |
No. 20100223345-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100223345-02 Citadel Securities LLC |
6/16/2014 |
No. 20110261076-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261076-01 Wedbush Securities Inc. |
5/15/2014 |
No. 20110293562-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110293562-01 Nomura Securities International Inc. |
5/14/2014 |
No. 20100215959-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100215959-01 Spartan Securities Group, Ltd. |
5/13/2014 |
No. 20110294921-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110294921-01 Morgan Keegan & Company, LLC |
5/5/2014 |
No. 20100249543-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100249543-01 National Financial Services, LLC |
5/2/2014 |
No. 20110262985-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110262985-01 Barclays Capital Inc. |
4/28/2014 |
No. 20110261650-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261650-02 Tradition Asiel Securities Inc. |
2/19/2014 |
No. 20110303916-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110303916-02 Essex Radez LLC |
2/5/2014 |
No. 20110293752-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110293752-01 OCTEG, LLC |
1/13/2014 |
No. 20110261576-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261576-02 Electronic Transaction Clearing, Inc. |
1/7/2014 |
No. 20110263030-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110263030-01 Archipelago Securities, LLC |
1/7/2014 |
2013
Enforcement No. | Title | Date |
---|---|---|
No. 20110293536-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110293536-01 J.P. Morgan Securities LLC |
12/23/2013 |
No. 20090169999-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090169999-02 Merrill Lynch, Pierce, Fenner & Smith Inc. |
11/18/2013 |
No. 20120327309-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120327309-01 Stock USA Execution Services, Inc. |
11/18/2013 |
No. 20120347385-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120347385-01 RBC Capital Markets, LLC |
10/15/2013 |
No. 20090191797-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090191797-01 Barrett & Company, Inc. |
09/20/2013 |
No. 20110261444-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261444-02 Lime Brokerage LLC |
09/16/2013 |
No. 20120324346-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120324346-01 Cowen and Company |
07/27/2013 |
No. 20120325257-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120325257-01 Newedge USA, LLC |
07/10/2013 |
No. 20110260978-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110260978-01 Stifel, Nicolaus & Company, Inc. |
07/06/2013 |
No. 20100215948-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261562-01, Murphy & Durieu | 06/14/2013 |
No. 20100215948-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120309824-01, The Benchmark Company, LLC |
06/11/2013 |
No. 20100215948-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120316791-01, Chardan Capital Markets LLC | 06/11/2013 |
No. 20080148650-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080148650-01 Steven Longo |
06/07/2013 |
No. 20100215948-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100215948-02, Barclays Capital, Inc. | 05/28/2013 |
No. 20100215909-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100215909-02, Cowen and Company, LLC | 05/28/2013 |
No. 20090173810-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090173810-02, Credit Suisse Securities (USA) LLC | 04/25/2013 |
No. 20100214899-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100214899-02, IMC-Chicago, LLC | 04/05/2013 |
No. 20110274228-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110274228-01, Interactive Brokers LLC | 04/05/2013 |
No. 20090170026-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090170026-02, Wedbush Securities Inc. | 04/02/2013 |
No. 20090170074-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090170074-01, Goldman, Sachs & Co. | 03/12/2013 |
2012
Enforcement No. | Title | Date |
---|---|---|
No. 20100215978-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100215978-01, RBC Capital Markets, LLC | 12/14/2012 |
No. 20100211739-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100211739-01, National Financial Services LLC | 11/21/2012 |
No. 20090172547-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090172547-02, Morgan Stanley & Co. LLC | 11/21/2012 |
No. 20110261119-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261119-01, Sandler, O'Neil & Partners, L.P. | 11/13/2012 |
No. 20100235041-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100235041-02, Goldman, Sachs & Co. | 09/14/2012 |
No. 20100224958-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100224958-02, Tradelink Securities, LLC | 08/31/2012 |
No. 20080142615-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080142615-01, Lazard Capital Markets LLC | 08/29/2012 |
No. 20110265711-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110265711-01, HAP Trading, LLC | 08/26/2012 |
No. 20090189588-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090189588-01, Merrill Lynch, Pierce, Fenner & Smith Incorporated | 06/01/2012 |
No. 20090189583-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. No. 20090189583-01, Manhattan Beach Trading Financial Services, Inc. | 06/01/2012 |
No. 20090208265-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. No. 20090208265-02, Janney Montgomery Scott LLC | 04/24/2012 |
No. 20100242271-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100242271-01, OCTEG, LLC | 03/08/2012 |
No. 20080126066-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080126066-01, Citigroup Global Markets Inc. | 02/03/2012 |
No. 20090210827-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090210827-01, Credit Agricole Cheuvreux North America, Inc. | 01/04/2012 |
2011
Enforcement No. | Title | Date |
---|---|---|
No. 20110286830-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110286830-01, Jefferies & Company, Inc. | 08/14/2011 |
No. 20090170083-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090170083-01, Spartan Securities Group, LTD | 12/21/2011 |
No. 20090189358-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090189358-01, Gelber SEcurities, LLC | 12/16/2011 |
No. 20090166421-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090166421-01, Natixis Bleichroeder, LLC | 08/14/2011 |
No. 20090196642-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090196642-01, Blue Fire Capital, LLC | 08/14/2011 |
No. 2010022922702NQ | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2010022922702NQ, TD Ameritrade, Inc. | 08/11/2011 |
No. 20090189355-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090189355-01, BNP Paribas Securities Corp. | 06/26/2011 |
No. 20080151815-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080151815-01, Morgan Stanly & Co. Incorporated | 05/13/2011 |
No. 20090169985-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090169985-01, Blue Fire Capital, LLC | 04/05/2011 |
No. 20100215972-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100215972-01, Pershing LLC | 03/18/2011 |
2010
Enforcement No. | Title | Date |
---|---|---|
No. 20080123329-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080123329-01, Cantor Fitzgerald & Co. | 12/23/2010 |
No. 20070111525-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20070111525-01, Seaton Securities Group, Inc. | 11/12/2010 |
No. 20080150670-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080150670-02, BTIG, LLC | 10/27/2010 |
No. 20090170076-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090170076-01, Pacific Crest Securities LLC | 10/20/2010 |
No. 20080127669-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080127669-01, Sanford C. Bernstein & Co. LLC | 09/30/2010 |
No. 20080122967-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080122967-01, Robert W. Baird & Co. | 08/25/2010 |
No. 20070103463-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20070103463-02, Cowen and Company | 08/25/2010 |
No. 20070110187-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20070110187-01, First Southwest Company | 08/19/2010 |
No. 20090191300-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090191300-01, Cantor Fitzgerald & Co. | 06/29/2010 |
No. 20090190213-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090190213-01, Lime Brokerage LLC | 06/29/2010 |
No. 20090186862-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090186862-01, Citigroup Global Markets Inc. | 06/29/2010 |
No. 20090186673-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090186673-01, Automated Trading Desk Financial Services, LLC | 06/29/2010 |
No. 20090186308-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090186308-01, Genesis Securities, LLC | 06/29/2010 |
No. 20090186066-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090186066-01, Biremis, Corp. | 06/29/2010 |
No. 20090183872-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090183872-01, Scottrade, Inc. | 06/29/2010 |
No. 20080159677-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080159677-01, OCTEG, LLC | 06/29/2010 |
No. 20080159388-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080159388-01, BNP Paribas Securities Corp. | 06/29/2010 |
No. 200815292-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 200815292-01, Citadel Securities LLC | 06/29/2010 |
No. 20080152870-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080152870-01, Wedbush Securities Inc. | 06/29/2010 |
No. 2008152821-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2008152821-01, Instinet, LLC | 06/29/2010 |
No. 20080152661-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080152661-01, UBS Securities LLC | 06/29/2010 |
No. 2008152658-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2008152658-01, Merrill Lynch, Pierce, Fenner, & Smith Incorporated | 06/29/2010 |
No. 2008136738-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2008136738-01, Pershing, LLC | 06/29/2010 |
No. 20080129730-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080129730-01, TD Ameritrade Clearing, Inc. | 06/29/2010 |
No. 20080129708-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080129708-01, Assent, LLC | 06/29/2010 |
No. 20070112699-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20070112699-01, LightSpeed Trading, LLC | 06/29/2010 |
No. 20070103806-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20070103806-01, Robert W. Baird & Co. | 06/29/2010 |
No. 20070093367-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20070093367-01, Goldman Sachs Execution & Clearing, L.P. | 06/29/2010 |
No. 20060043626-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20060043626-02, Natixis Bleichroeder LLC | 06/29/2010 |
No. 20080123149-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080123149-01, Wedbush Morgan Securities, Inc. | 04/30/2010 |
No. 20050031852-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20050031852-01, Domestic Securities, Inc. | 04/06/2010 |