PHLX Disciplinary Actions

2022

Enforcement No. Title Date
No. 2017053210204 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053210204
Sagetrader, LLC
7/20/2022
No. 2019.12.0089 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.12.0089
Wolverine Trading, LLC
7/12/2022
No. 2018060117905 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018060117905
Dash Financial Technologies LLC
5/16/2022
No. 2019061061105 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061061105
Goldman Sachs & Co. LLC
4/14/2022