PHLX Disciplinary Actions

2020

Enforcement No. Title Date
No. 2019.11.0080 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.11.0080
Walleye Trading LLC
10/27/2020
No. 2018057171902 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018057171902
Sanford C. Bernstein & Co., LLC
9/9/2020
No. 2015045755504 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045755504
John Grifonetti
7/23/2020
No. 2015045755513 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045755513
Douglas A. Sanzone
7/23/2020
No. 2017053131501 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053131501
Nomura Securities International, Inc.
6/24/2020
No. 2015048329302 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015048329302
Morgan Stanley & Co. LLC
6/3/2020
No. 2015045755513 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045755513
Douglas A. Sanzone
6/1/2020
No. 2018058715201 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018058715201
Freda Ginsberg McCullough
5/29/2020
No. 2016048770602 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016048770602
Credit Suisse Securities (USA) LLC
3/4/2020
No. 20170540013-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20170540013-02
Cowen and Company
3/3/2020
No. 2017053128502 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053128502
Morgan Stanley & Co. LLC
2/18/2020
No. 2017053129501 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053129501
Raymond James & Associates, Inc.
1/13/2020
No. 2017053129604 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053129604
BNP Paribas Securities Corp.
1/7/2020