PHLX Disciplinary Actions

2023

Enforcement No. Title Date
No. 2018059146504 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018059146504
Goldman Sachs & Co. LLC
4/4/2023
No. 2017054491008 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017054491008
Wedbush Securities Inc.
1/19/2023