Disciplinary Actions

2017

Enforcement No. Title Date
No.20130371845-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130371845-01
Jefferies LLC
12/18/2017
No. 20140437801-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140437801-01
Merrill Lynch, Pierce, Fenner & Smith Incorporated
10/31/2017
No. 20150457981-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150457981-04
GTS Securities LLC
10/26/2017
No. 20150442333-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150442333-03
Chimera Securities, LLC
10/04/2017
No. 20140423775-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140423775-01
Ronin Capital, LLC
9/26/2017
No. 20140416350-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140416350-03
RBC Capital Markets, LLC
9/20/2017
No. 20150480820-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150480820-01
Aegis Capital Corp.
9/20/2017
No. 20130393135-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130393135-05
Deutsche Bank Securities Inc.
7/27/2017
No. 20160489184-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160489184-01
Raymond James & Associates, Inc.
7/17/2017
No. 20140399285-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140399285-01
GFI Securities LLC
7/17/2017
No. 20150458588-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150458588-01
TD Securities (USA) LLC
7/11/2017
No. 20120348296-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120348296-03
J.P. Morgan Securities LLC
6/28/2017
No. 20120347730-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120347730-02
Interactive Brokers, LLC
5/23/2017
No. 20140411317-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140411317-02
Old Mission Capital, LLC
5/3/2017
No. 20130391658-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130391658-05
Two Sigma Securities, LLC
4/6/2017
No.20130365748-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130365748-01
Barclays Capital, Inc.
4/5/2017
No. 20120316421-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120316421-01
Morgan Stanley & Co. LLC
4/5/2017
No. 20150444790-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150444790-01
Xambala Capital, LLC
1/24/2017
No. 20140414536-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140414536-01
R.W. Pressprich & Co.
1/19/2017
No. 20110289645-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110289645-02
Maxim Group LLC
1/4/2017