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BX Disciplinary Actions
2023
| Enforcement No. | Title | Date |
|---|---|---|
| No. 2017054491007 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017054491007 Wedbush Securities Inc. |
1/19/2023 |
2022
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20180580170-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20180580170-01 Global Execution Brokers, LP |
9/23/2022 |
| No. 2017053210203 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053210203 Sagetrader, LLC |
7/20/2022 |
| No. 2018060117902 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018060117902 Dash Financial Technologies LLC |
5/16/2022 |
2021
| Enforcement No. | Title | Date |
|---|---|---|
| No. 2015046278304 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015046278304 Citadel Securities LLC |
12/27/2021 |
| No. 2015044078203 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015044078203 CODA Markets. Inc. (f/k/a PDQ ATS. Inc.) |
7/28/2021 |
2020
| Enforcement No. | Title | Date |
|---|---|---|
| No. 2015045755503 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045755503 John Grifonetti |
7/23/2020 |
| No. 2015045755512 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045755512 Douglas A. Sanzone |
7/23/2020 |
2019
| Enforcement No. | Title | Date |
|---|---|---|
| No. 2012034704504 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2012034704504 Credit Suisse Securities (USA) LLC |
12/23/2019 |
| No. 2011029713006 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2011029713006 Lek Securities Corporation |
12/17/2019 |
| No. 2014043557407 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014043557407 Jefferies Execution Services, Inc. n/k/a Jefferies LLC |
12/12/2019 |
| No. 2013037572603 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2013037572603 Lime Brokerage, LLC |
8/15/2019 |
| No. 2014042373806 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014042373806 Clearpool Execution Services, LLC |
7/10/2019 |
2018
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20150467692-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150467692-04 GTS Securities LLC |
9/25/2018 |
| No. 20120314807-19 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-19 Simon Librati |
8/30/2018 |
| No. 20120314807-05 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-05 Maurice Bensoussan |
8/29/2018 |
| No. 20140414439-05 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140414439-05 Wolverine Trading, LLC |
5/2/2018 |
| No. 20130368360-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130368360-02 Instinet, LLC |
4/11/2018 |
2017
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20140418707-05 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140418707-05 BMO Capital Markets Corp. |
10/11/2017 |
| No. 20140416350-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140416350-04 RBC Capital Markets, LLC |
9/20/2017 |
| No. 20130393135-06 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130393135-06 Deutsche Bank Securities Inc. |
7/27/2017 |
2016
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20140430990-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430990-03 Jump Trading, LLC |
10/31/2016 |
| No. 20130362190-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130362190-01 Jefferies LLC |
01/15/2016 |
2015
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20130362207-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130362207-02 COR Clearing, LLC |
12/29/2015 |
| No. 20110291718-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110291718-01 Barclays Capital Inc. |
07/10/2015 |
| No. 20110277299-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110277299-03 Merrill Lynch, Pierce, Fenner & Smith Inc. |
06/23/2015 |
| No. 20120310864-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310864-02 First Clearing, LLC. |
04/10/2015 |
2014
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20120341223-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120341223-02, Wolverine Execution Services, LLc |
12/22/2014 |
| No. 20120322493-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No.20120322493-02, Merrill Lynch, Pierce, Fenner & Smith Incorporated & Merrill Lynch Professional Clearing Corp. |
12/22/2014 |
| No. 20090198842-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090198842-01, Global Execution Brokers, LP |
11/24/2014 |
| No. 20110300883-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110300883-01, KCG Americas LLC |
10/29/2014 |
| No. 20120330808-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120330808-02, Jump Trading, LLC |
7/22/2014 |
| No. 20110293571-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110293571-01, OCTEG, LLC |
1/13/2014 |
| No. 20110291711-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110291711-01, Wolverine Trading LLC |
1/13/2014 |
2013
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20100214915-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100214915-01, UBS Financial Services Inc. |
12/16/2013 |
| No. 20100249660-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100249660-01, Wolverine Trading, LLC |
12/12/2013 |
| No. 20100237398-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100237398-01, Timber Hill, LLC |
12/2/2013 |
| No. 20110265025-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110265025-01, Stock USA Execution Services, Inc. |
11/25/2013 |
| No. 20110280705-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110280705-01, UBS Securities |
08/05/2013 |
| No. 20090166268-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090166268-02, VTrader Pro |
07/26/2013 |
2012
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20100236863-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100236863-01, ABN AMRO Clearing Chicago, LLC |
12/24/2012 |
| No. 20100236863-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100236863-01, ABN AMRO Clearing Chicago, LLC |
12/24/2012 |
| No. 20100222173-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100222173-01, Morgan Stanley & Co., LLC |
12/19/2012 |
| No. 20100211739-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100211739-01, National Financial Services, LLC |
11/21/2012 |
| No. 20100233513-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100233513-02, Hold Brothers Online Investment Services, LLC |
09/24/2012 |
| No. 20100235041-01 | Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20100235041-01, Goldman, Sachs & Co. | 09/12/2012 |
