PHLX Disciplinary Actions

2019

Enforcement No. Title Date
No. 2018.07.0023 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018.07.0023
Monadnock Capital Management, LP
4/08/2019
No. 2015046944501 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015046944501
Monadnock Capital Management, LP
2/14/2019
No. 2015047551601 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015047551601
UBS Securities LLC, Respondent
1/29/2019
No. 2015045758302 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045758302
Lek Securities Corporation
1/24/2019