The NASDAQ Options Market Disciplinary Actions

2015

Enforcement No. Title Date
No. 20110292793-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20110292793-01,
Credit Suisse Securities (USA) LLC		 10/15/2015
No. 20120334122-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20120334122-01,
Virtu Financial BD LLC		 10/09/2015
No. 20110301661-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20110301661-01,
UBS Securities LLC		 07/13/2015
No. 20110277299-04 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20110277299-04,
Merrill Lynch, Pierce, Fenner & Smith Inc.		 06/23/2015
No. 20130366433-03 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20130366433-03,
Merrill Lynch Professional Clearing Corp.		 06/25/2015
No. 20100236861-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20100236861-01,
optionsXpress, Inc.		 03/20/2015

2014

Enforcement No. Title Date
No. 20110261143-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20110261143-01,
Cantor FItzgerald & Co.		 09/12/2014
No. 20110275391-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20110275391-01,
Cantor FItzgerald & Co.		 03/14/2014

2013

Enforcement No. Title Date
No. 20110275386-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20110275386-01,
Barclays Capital Inc.		 10/22/2013
No. 20110259552-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20110259552-01,
UBS Securities LLC		 01/15/2013

2012

Enforcement No. Title Date
No. 20100233513-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20100233513-01,
Hold Brothers Online Investment Services, LLC		 09/24/2012
No. 20100217585-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20100217585-01, Morgan Stanley & Co. LLC 07/12/2012

2011

Enforcement No. Title Date
No. 20090180679-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20090180679-01, Thinkorswim, Inc. 05/27/2011
No. 20080144546-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20080144546-01, Newedge USA, LLC 03/18/2011

2010

Enforcement No. Title Date
No. 20080144510-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20080144510-01, Merrill Lynch, Pierce, Fenner & Smith, Inc. 11/12/2010
No. 20080144520-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20080144520-01, National Financial Services, LLC 11/12/2010
No. 20080153938-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20080153938-01, SG Americas Securities, LLC 11/12/2010
No. 20080137271-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20080137271-01, JP Morgan Securities, Inc. 03/24/2010