GEMX Disciplinary Actions

2022

Enforcement No. Title Date
No. 2019.12.0089 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.12.0089,
Wolverine Trading, LLC
7/12/2022
No. 2018060117904 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018060117904,
Dash Financial Technologies LLC
5/16/2022