PHLX Disciplinary Actions

2018

Enforcement No. Title Date
No. 20140411279-08 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20140411279-08,
Merrill Lynch, Pierce, Fenner & Smith Inc.
9/26/2018
No. 20150467692-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150467692-05
GTS Securities LLC
9/25/2018
No. 20120314807-20 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-20
Simon Librati
8/30/2018
No. 20120314807-06 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-06
Maurice Bensoussan
8/29/2018
No. 20150467547-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150467547-01
Sumo Capital, LLC
5/9/2018
No. 20140414439-06 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140414439-06
Wolverine Trading, LLC.
5/2/2018
No. 20130368360-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130368360-03
Instinet, LLC.
4/11/2018
No. 20150443242-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150443242-03 Deutsche Bank Securities Inc. 2/13/2018