PHLX Disciplinary Actions

2017

Enforcement No. Title Date
2017-12 Notice of Disciplinary Action Against Goldman, Sachs & Co., LLC, Member Organization 7/12/2017
2017-11 Notice of Disciplinary Action Against Jump Trading, LLC, Member Organization 6/28/2017
2017-10 Notice of Disciplinary Action Against J.P. Morgan Securities LLC, Member Organization 7/27/2017
2017-9 Notice of Disciplinary Action Against Susquehanna Securities, Member Organization 8/2/2017
2017-8 Notice of Disciplinary Action Against Deutsche Bank Securities, Inc., Member Organization 7/27/2017
2017-7 Notice of Disciplinary Action Against ICAP Corporates LLC, Member Organization 9/1/2017
2017-6 Notice of Disciplinary Action Against Brencis Matthew, a Former Proprietary Trader of T3 Trading Group, LLC, Member Organization 9/1/2017
2017-5 Notice of Disciplinary Action Against Stuart H. Dorfman, a Former Proprietary Trader of T3 Trading Group, LLC, Member Organization 9/1/2017
2017-4 Notice of Disciplinary Action Against Two Sigma Securities, LLC, Member Organization 4/11/2017
2017-3 Notice of Disciplinary Action Against UBS Securities, LLC, Member Organization 4/11/2017
2017-2 Notice of Disciplinary Action Against Susquehanna Securities, Member Organization 4/4/2017
2017-1 Notice of Disciplinary Action Against Wolverine Execution Services, LLC, Member Organization 4/4/2017