The NASDAQ Options Market Disciplinary Actions

2014

Enforcement No. Title Date
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