NASDAQ OMX Disciplinary Actions

2013

Enforcement No. Title Date
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