PHLX Disciplinary Actions

2019

Enforcement No. Title Date
No. 2016050933606 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016050933606
RBC Capital Markets, LLC
10/2/2019
No. 2013037572604 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2013037572604
Lime Brokerage, LLC
8/15/2019
No. 2016048769502 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016048769502
Jefferies, LLC
8/14/2019
No. 2012035187503 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2012035187503
Clear Street Markets, LLC
7/25/2019
No. 2014042373807 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014042373807
Clearpool Execution Services, LLC
7/10/2019
No. 2016048771703 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016048771703
SG Americas Securities, LLC, Respondent
6/17/2019
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