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