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 |
2017
| Enforcement No. |
Title |
Date |
| No. 20150455863-02 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150455863-02
Nomura Securities International, Inc. |
12/21/2017 |
| No. 20140418707-01 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140418707-01
BMO Capital Markets Corp. |
10/11/2017 |
| No. 20120313180-03 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120313180-03,
Goldman, Sachs & Co. LLC |
07/17/2017 |
2016
| Enforcement No. |
Title |
Date |
| No. 20130362578-02 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130362578-02,
Lime Brokerage LLC |
12/20/2016 |
| No. 20130374348-03 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130374348-03,
J.P. Morgan Securities LLC |
08/23/2016 |
| No. 20140402502 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140402502,
Interactive Brokers LLC |
08/23/2016 |
| No. 20150481528 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150481528
KCG Americas LLC |
08/23/2016 |
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