PHLX Disciplinary Actions

2017

Enforcement No. Title Date
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