ISE Disciplinary Actions

2018

Enforcement No. Title Date
No. 20140411279-05 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20140411279-05,
Merrill Lynch, Pierce, Fenner & Smith Inc.
9/26/2018
No. 20170539365 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20170539365,
BGC Financial, L.P.
9/14/2018