BX Disciplinary Actions

2022

Enforcement No. Title Date
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