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PHLX Disciplinary Actions

2016

Enforcement No. Title Date
2016-2 Notice of Disciplinary Action Against Deutsche Bank Securities Inc., Member Organization 03/23/2016
2016-1 Notice of Disciplinary Action Against SG Americas Securities, LLC, Member Organization 03/28/2016

2015

Enforcement No. Title Date
2015-12 Notice of Disciplinary Action Against UBS Securities LLC, Member Organization 12/29/2015
2015-16 Notice of Disciplinary Action Against UBS Securities LLC, Member Organization 12/21/2015
2015-15 Notice of Disciplinary Action Against Sumo Capital, LLC, Member Organization 12/21/2015
2015-14 Notice of Disciplinary Action Against Group One Trading, L.P., Member Organization 12/21/2015
2015-11 Notice of Disciplinary Action Against Joseph Constantine Monte, Former Member Organization 11/23/2015
2015-11 Notice of Disciplinary Action Against Seth Gordon Rosen, Former Member Organization 11/23/2015
2015-11 Notice of Disciplinary Action Against Quad Capital, LLC, Former Member Organization 11/23/2015
2015-13 Notice of Disciplinary Action Against Bluefin Trading, LLC, Member Organization 11/10/2015
2015-10 Notice of Disciplinary Action Against Credit Suisse Securities (USA) LLC a Former Member Organization 10/15/2015
2015-09 Notice of Disciplinary Action Against G-2 Trading, LLC a Former Member Organization 08/31/2015
2015-08 Notice of Disciplinary Action Against Virtu Financial BD LLC, Member Organization 08/31/2015
2015-07 Notice of Disciplinary Action Against Virtu Financial Capital Markets LLC, Member Organization 08/31/2015
2015-06 Notice of Disciplinary Action Against Barclays Capital Inc,, a Member Organization 07/13/2015
2014-15 and 2015-05 Notice of Disciplinary Action Against PTR, Inc, a Member Organization 07/01/2015
2015-04 Notice of Disciplinary Action Against Merrill Lynch Pierce Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp, a Member Organization 06/24/2015
2015-03 Notice of Disciplinary Action Against Merrill Lynch Professional Clearing Corp., a Member Organization 06/23/2015
2015-02 Notice of Disciplinary Action Against Consolidated Trading, LLC, a Member Organization 06/18/2015
2015-01 Notice of Disciplinary Action Against D&D Securities, Inc., a Member Organization 04/09/2015

2014

Enforcement No. Title Date
2014-19 Notice of Disciplinary Action Against BMack Trading, LLC and William T. McCormack, Former Associated Persons of Husky Trading, LLC, a Member Organization 06/30/2015
2014-17 Notice of Disciplinary Action Against Wolverine Execution Services, LLC, a Member Organization 12/22/2014
2014-16 Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Rosenbaum Capital, LLC, a Former Member Organization 11/20/2014
2014-14 Notice of Disciplinary Action Against Eugene P. O’Brien, a Former Managing Partner, Representative, Compliance Officer, Permit Holder, Registered Options Trader, and Floor Broker of Husky Trading, LLC,, a Member Organization 06/26/2015
2014-13 Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against D&D Securities, Inc., Member Organization 11/19/2014
2014-12 Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Bluefin Trading, LLC, Member Organization 11/7/2014
2014-11 Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Market Street Securites Inc., former Member Organization 11/10/2014
2014-06 Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Morgan Stanley & Co, LLC, Member Organization 8/18/2014
2014-09 Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Walleye Trading, LLC, Member Organization 8/4/2014
2014-08 Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Volant Liquidity, LLC, Member Organization 8/4/2014
2014-07 Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against UBS Securities, LLC, Member Organization 8/4/2014
2014-05 Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Group One Trading, LP, Member Organization 8/4/2014
2014-04 Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Cutler Group, LP, Member Organization 8/4/2014
2014-02 Notice of Disciplinary Action Against Cutler Group, LP, Member Organization 4/8/2014
2014-01 Notice of Disciplinary Action Against Darren S. Grunberg, Former Associated Person of RBC Professional Trader Group, LLC (n/k/a G-2 Trading, LLC), Member Organization 3/7/2014
2012-14 Notice of Disciplinary Action Against Husky Trading LLC, a Former Member Organization 3/7/2014
2012-17 Notice of Disciplinary Action Against Solaris Alternative Capital Partners, L.P., a Former Member Organization, and Pasquale R. DiDonato, a Former Compliance Officer of Solaris Alternative Capital Partners, L.P. 2/21/2014

2013

Enforcement No. Title Date
2013-06 Notice of Disciplinary Action Against G-2 Trading, a Member Organization, and David S. Abramson, Cheif Operating Officer of G-2 Trading, LLC 12/20/2013
2013-05 Notice of Disciplinary Action Against Largo Trading, L.P., a Member Organization 12/20/2013
2013-04 Notice of Disciplinary Action Against UBS Securities, LLC, a Member Organization 6/10/2013
2013-03 Notice of Disciplinary Action Against Cowen and Company, LLC, a Member Organization 6/10/2013
2013-02 Notice of Disciplinary Action Against Cutler Group, LP, a Member Organization 6/10/2013
2014-03 Notice of Disciplinary Action Against HAP Trading, LLC, Member Organization, Saagar Kamal Gupta, former proprietary trader and associated person of HAP Trading, LLC, and Harsh A. Padia, Chief Executive Officer and Managing Member of HAP Trading, LLC 5/12/2013
2012-10 Notice of Disciplinary Action Against Rosenbaum Capital, LLC, a former Member Organization, and Jonathan Levene, a former Associated Person of Rosenbaum Capital, LLC 4/03/13
2013-01 Notice of Disciplinary Action Against PTR, Inc. (“PTR” or the “Firm”), a member organization of the NASDAQ PHLX LLC (“PHLX” or the “Exchange”). 4/01/13
2012-12 Notice of Disciplinary Action Against Bullock Trading LP, a former Member Organization, and Jason Ferrari, a former Associated Person of Bullock Trading LP 3/26/13
2012-16 Notice of Disciplinary Action Against Cutler Group, LP, a Member Organization 1/3/13
2012-13
2012-15		 Notice of Disciplinary Action Against J.A.K. Securities, Inc., a Member Organization 1/3/13

2012

Enforcement No. Title Date
2012-09 Notice of Disciplinary Action Against Goldman, Sachs & Co., a Member Organization 10/10/12
2012-08 Notice of Disciplinary Action Against Keystone Trading Partners, a Member Organization, and Eric Schmid and Vincent Jackson, Associated Persons of Keystone Trading Partners 06/21/12
2012-07 Notice of Disciplinary Action Against VTrader PRO, LLC, a Member Organization, and Mark Kenesky, Associated Person of VTrader PRO, LLC 06/21/12
2012-06 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Octeg, LLC, Member Organization 06/12/12
2012-05 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Sumo Capital, LLC, Member Organization 06/12/12
2010-23 Notice of Disciplinary Action Against D&D Securities, Inc., a Member Organization, and Nicholas DiCicco, Associated Person of D&D Securities, Inc. 05/07/12
2011-10 Notice of Disciplinary Action Against David N. Rades, Former Associated Person of Echotrade, LLC, a Former Member Organization 4/24/12
2012-04 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against J.P. Morgan Clearing Corp., Member Organization 04/10/12
2012-03 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Group One Trading, LP, Member Organization 03/15/12
2012-02 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Toro Trading, LLC, Member Organization 03/15/12
2012-01 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Gelber Securities, LLC, Member Organization 03/15/12

2011

Enforcement No. Title Date
2011-09 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Quad Capital, LLC, Member Organization 12/29/11
2011-08 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against G-2 Trading, LLC, Member Organization 12/29/11
2011-07 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Merrill Lynch Professional Clearing Corp, Member Organization 12/08/11
2011-06 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Optiver US, LLC, Member Organization 06/27/11
2011-05 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Tiberius Qualified Master Fund, Ltd., Member Organization 06/27/11
2011-04 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Keystone Trading Partners, Member Organization, and Timothy D. Lobach, Associated Person of Keystone 07/07/11
2011-03 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Consolidated Trading, LLC., Member Organization 06/02/11
2011-02 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Cutler Group, Inc., Member Organization 06/02/11
2011-01 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against McGowan Investors, L.P., Former Member Organization 07/22/11

2010

Enforcement No. Title Date
2010-22 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Madison Proprietary Trading Group, LLC, Member Organization 12/29/10
2010-21 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Bedrock Trading, Ltd., Member Organization 12/29/10
2010-20 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Keystone Trading Partners, Member Organization 12/29/10
2010-19 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Howard J. Lang, Former Associated Person of Echotrade, LLC, Member Organization 12/29/10
2010-16 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against PTR, Inc., Member Organization 12/10/10
2010-15 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Merrill Lynch Professional Clearing Corp, Member Organization 12/10/10
2010-14 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against PTR, Inc., Member Organization 09/24/10
2010-13 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Echotrade, LLC, Member Organization 09/24/10
2010-12 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against PTR, Inc., Member Organization 08/02/10
2010-11 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Jalobe Securities, LP, Former Member Organization 08/02/10
2010-10 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Monadnock Capital Management, LP, Member Organization 08/02/10
2010-09 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Madison Proprietary Trading Group, LLC, Member Organization 08/02/10
2010-08 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Peter P. Cullen, Former Associated Person of a Member Organization 08/02/10
2010-03 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against HSBC Securities, Inc., Member Organization 04/28/10
2010-02 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against RBC Professional Trader Group, LLC, Member Organization 04/28/10
2010-01 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Timber Hill, LLC, Member Organization 04/28/10
2010-07 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Group One Trading, LP, Member Organization 04/19/10
2010-06 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Toro Trading, LP, Member Organization 04/19/10
2010-05 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Citigroup Derivatives Markets, Inc., Member Organization 04/19/10
2010-04 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Bullock Trading, LP, Member Organization 04/19/10
2009-33 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Cutler Group, LP, Member Organization 02/16/10
2009-31 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Cutler Group, LP, Member Organization 02/16/10
2009-29 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against SLK-Hull Derivatives, LLC, Former Member Organization 02/16/10
2009-30 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Morgan Stanley & Co. Incorporated, Member Organization 01/22/10
2009-32 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Monadnock Capital Management, LP, Member Organization 01/08/10
2009-27 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against M. Burtnick & Co., Former Member Organization 01/05/10

2009

Enforcement No. Title Date
2009-34 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Argyle Investments, LLC, Former Member Organization 12/24/09
2009-25 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Offman Securities, LLC, Member Organization 11/27/09
2009-26 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against McGowan Investors, LP, Member Organization 11/20/09
2009-28 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against DSX, Inc., Member Organization 11/19/09
2009-24 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Bedrock Trading LTD, Member Organization 11/19/09
2009-23 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Bullock Trading, LP, Member Organization 08/06/09
2009-22 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Largo Trading, L.P., Member Organization 07/27/09
2009-21 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against First Derivative Traders, L.P., Member Organization 07/14/09
2009-20 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Knight Financial Products LLC, Former Member Organization 07/14/09
2009-16 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against D&D Securities, Inc., Member Organization 07/01/09
2009-15 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against D&D Securities, Inc., Member Organization 07/01/09
2009-17 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against PTR, Inc., Member Organization 06/03/09
2009-14 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against PTR, Inc., Member Organization 06/03/09
2009-19 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Gradient Trading, LLC, Former Member Organization 05/19/09
2009-13 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Equitec Proprietary Markets, LLC, Member Organization 05/19/09
2009-12 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against LaBranche Structured Products, LLC, Member Organization 05/19/09
2009-11 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Van der Moolen Specialists USA, LLC, Former Member Organization 05/19/09
2009-10 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against First Derivative Traders, L.P., Member Organization 05/19/09
2009-09 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Market Street Securities, Inc., Member Organization 05/19/09
2009-08 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Group One Trading, L.P., Member Organization 05/19/09
2009-07 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Susquehanna Investment Group, Member Organization 05/19/09
2009-06 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Gradient Trading, LLC, Former Member Organization 04/09/09
2009-02 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against D&D Securities, Inc., Member Organization 03/20/09
2009-04 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against J.A.K. Securities, Inc., Member Organization 03/20/09
2009-05 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Madison Proprietary Trading Group, LLC, Member Organization 03/17/09
2009-03 Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against DSX, Inc., Former Member Organization 03/16/09