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Product LoginThe NASDAQ Options Market Disciplinary Actions
2017
2016
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20140418701-05 | Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20140418701-05, Citi Order Routing and Execution, LLC |
12/21/2016 |
| No. 20130362578-04 | Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20130362578-04, Lime Brokerage LLC |
12/20/2016 |
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 |
