Disciplinary Actions

2018

Enforcement No. Title Date
No. 20120314807-21 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-21
Simon Librati
8/30/2018
No. 20120314807-07 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-07
Maurice Bensoussan
8/29/2018
No. 20160511439-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511439-01
SunTrust Robinson Humphrey, Inc.
8/28/2018
No. 20120346239-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120346239-05
Morgan Stanley & Co. LLC
8/23/2018
No. 20160511376-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511376-01
Chardan Capital Markets LLC
7/2/2018
No. 20160511443-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511443-01
R.W. Pressprich & Co.
5/21/2018
No. 20160511369-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511369-01
BMA Securities, LLC
5/21/2018
No. 20160511367-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511367-01
BB&T Securities, LLC
5/18/2018
No. 20130368360-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130368360-01
Instinet, LLC
4/11/2018
No. 20100215956-02 Order Accepting Offer of Settlement No. 20100215956-02
Lek Securities Corporation
2/27/2018