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Disciplinary Actions
2016
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20100243866-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120323306-02 WEDB Securities LLC |
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. 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. 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 |
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. 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. 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. 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. 20080148650-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080148650-01 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. 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 |
