PHLX Disciplinary Actions

2021

Enforcement No. Title Date
No. 2014043121005 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014043121005
Deutsche Bank Securities Inc.
9/10/2021
No. 2019.10.0065 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.10.0065
Instinet, LLC
8/09/2021
No. 2018057172902 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018057172902
Sumo Capital, LLC
7/22/2021
No. 2019061058202 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061058202
CTC, LLC
7/21/2021
No. 2016051325702 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051325702
Barclays Capital Inc.
5/4/2021
No. 2016051325702 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051325702
Barclays Capital Inc.
5/4/2021
No. 2019.02.0025 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.02.0025
William McCormack
4/23/2021
No. 2019.02.0023 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.02.0023
Dash Financial Technologies LLC
3/23/2021