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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Order/Ex Management

Nasdaq Crosses

Exchange Traded Funds

Options and Futures

Trade Reporting

Risk Management

Compliance

Trading Support

Featured Products

Curated Data

Equities

Options and Futures

Global Indexes and ETFs

Technical Documentation

Trading Access

Hosting Services

Equity Protocols

Testing

Options Protocols

Market Data Protocols

Regulation SHO

Regulatory Data

Transactions Policies

Disciplinary Actions

Market Regulation

Industry Regulators

Equities Statistics

Options Statistics

Reports

Equity News

Other News

Options News

Historical Options NewsISE/GEMX/MRX

Market Data News

Nasdaq Fixed Income

UTP News

Price List

Agreements and Forms

Testing

Technical Specifications

Technical Documentation

System Settings

Trading Services

Market Data

Reports

Disciplinary Actions

2024

2023

2022

2021

2020

2019

2018

2017

2016

2015

2014

2013

2012

2011

2010

Related Links

Historical Options News
ISE/GEMX/MRX