PHLX Disciplinary Actions

2020

Enforcement No. Title Date
No. 2017053128502 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053128502
Morgan Stanley & Co. LLC
2/18/2020
No. 2017056210704 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017056210704
ITG Inc. n/k/a Virtu ITG, LLC
2/03/2020
No. 2017053129501 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053129501
Raymond James & Associates, Inc.
1/13/2020
No. 2017053129604 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053129604
BNP Paribas Securities Corp.
1/7/2020