Disciplinary Actions

2023

Enforcement No.	Title	Date
No. 2017055657511	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017055657511 Electronic Transaction Clearing, Inc.	09/08/2023
No. 2021.05.0319	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2021.05.0319 RBC Capital Markets, LLC	06/12/2023
No. 2018058111302	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018058111302 J.P. Morgan Securities LLC	5/22/2023
No. 2018057188802	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018057188802 Regal Securities, Inc.	4/17/2023
No. 2018059146502	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018059146502 Goldman Sachs & Co. LLC	4/4/2023
No. 2017054491009	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017054491009 Wedbush Securities Inc.	1/19/2023

Enforcement No.	Title	Date
No. 2021.05.318	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2021.05.318 BofA Securities, Inc.	11/29/2022
No. 2019061702710	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061702710 Vision Financial Markets LLC	9/16/2022
No. 2018056929907	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018056929907 Morgan Stanley & Co. LLC	9/28/2022
No. 2020.05.0170	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.05.0170 D.A. Davidson & Co.	7/25/2022
No. 2017053210202	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053210202 Sagetrader, LLC	7/20/2022
No. 2015047957002	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015047957002 T.R. Winston & Company, LLC	6/29/2022
No. 2015045823202	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045823202 Stifel, Nicolaus & Company, Inc.	6/14/2022
No. 2018058781102	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018058781102 UBS Securities, LLC	5/3/2022
No. 2015044557301	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015044557301 Precision Securities, LLC	3/2/2022
No. 2020.01.0123	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.01.0123 SpeedRoute LLC	1/14/2022
No. 2014039952902	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014039952902 E*TRADE Securities LLC	1/10/2022

Enforcement No.	Title	Date
No. 2015046278305	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015046278305 Citadel Securities LLC	12/27/2021
No. 2018059368301	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018059368301 Roth Capital Partners, LLC	10/25/2021
No. 2017055996902	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017055996902 Piper Sandler & Co. (f/k/a Sandler O’Neill & Partners, L.P.)	8/4/2021
No. 2015044078202	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015044078202 CODA Markets. Inc. (f/k/a PDQ ATS. Inc.)	7/28/2021
No. 2018057166104	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018057166104 Wolverine Execution Services, LLC	5/24/2021
No. 2017055595901	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017055595901 National Financial Services, LLC	5/10/2021
No. 2020.01.0096	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.01.0096 Needham & Company, LLC	4/12/2021
No. 2013038684003	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2013038684003 Merrill Lynch, Pierce, Fenner & Smith Incorporated	3/30/2021
No. 2015045017001	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045017001 RBC Capital Markets, LLC	3/9/2021

Enforcement No.	Title	Date
No. 2020.01.0095	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.01.0095 Paulson Investment Company LLC	12/2/2020
No. 2019.10.0074	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.10.0074 Keefe, Bruyette & Woods, Inc.	11/2/2020
No. 2019.06.0052	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.06.0052 William Blair & Company, L.L.C.	9/1/2020
No. 2019.08.0061	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.08.0061 Sandler, O’Neill & Partners, L.P.	8/7/2020
No. 2015045755511	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045755511 Douglas A. Sanzone	7/23/2020
No. 2015045755502	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045755502 John Grifonetti	7/23/2020
No. 2018057166402	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018057166402 Precision Securities, LLC	7/17/2020
No. 2019.07.0056	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.07.0056 INTL FCStone Financial Inc.	7/9/2020
No. 2015049918101	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015049918101 Charles Schwab & Co., Inc.	5/27/2020
No. 2017054051802	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017054051802 Seaport Global Securities LLC	5/13/2020
No. 2019.04.0040	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.04.0040 Network I Financial Securities Inc.	4/8/2020
No. 2015045163501	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045163501 Cantor Fitzgerald & Co.	3/16/2020
No. 2017056210702	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017056210702 ITG Inc. n/k/a Virtu ITG, LLC	2/03/2020
No. 2019.06.0053	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.06.0053 Fordham Financial Management, Inc.	1/16/2020

Enforcement No.	Title	Date
No.2012034704502	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2012034704502 Credit Suisse Securities (USA) LLC	12/23/2019
No. 2014040293002	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014040293002 Cowen & Company, LLC	12/17/2019
No. 2011029713005	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2011029713005 Lek Securities Corporation	12/17/2019
No. 2014043557405	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014043557405 Jefferies Execution Services, Inc. n/k/a Jefferies LLC	12/12/2019
No. 2019.05.0046	Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2019.05.0046, StockCross Financial Services, Inc.	11/08/2019
No. 2019.04.0041	Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2019.04.0041, RBC Capital Markets, LLC	10/28/2019
No. 2013037572602	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2013037572602 Lime Brokerage, LLC	8/15/2019
No. 2012035187502	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2012035187502 Clear Street Markets, LLC	7/25/2019
No. 2013038210401	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2013038210401 Aegis Capital Corp.	7/10/2019
No. 2014042373805	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014042373805 Clearpool Execution Services, LLC	7/10/2019
No. 2016051145401	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051145401 Virtu Financial BD LLC	7/08/2019
No. 2016051144701	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051144701 Citigroup Global Markets Inc.	6/10/2019
No. 2017056712301	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017056712301 Merrill Lynch, Pierce, Fenner & Smith Incorporated	5/20/2019
No. 2016051141401	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051141401 Mizuho Securities USA Inc.	4/2/2019
No. 2016051140601	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051140601 Janney Montgomery Scott, LLC	3/21/2019
No. 2016051141801	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051141801 OTA LLC	2/8/2019
No. 2016051145101	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051145101 The Vertical Group	1/31/2019
No. 2013039483301	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2013039483301 ITG Inc.	1/29/2019

Enforcement No.	Title	Date
No. 2015046871502	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015046871502 Chardan Capital Markets LLC	12/13/2018
No. 2016051145501	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051145501 Wedbush Securities Inc.	12/10/2018
No. 20160511397-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511397-01 IMC Financial Markets	11/12/2018
No. 20160511383-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511383-01 Deutsche Bank Securities Inc.	11/06/2018
No. 20150483276-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150483276-01 SG Americas Securities, LLC	10/24/2018
No. 20150467692-03	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150467692-03 GTS Securities LLC	9/25/2018
No. 20120314807-21	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-21 Simon Librati	8/30/2018
No. 20120314807-07	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-07 Maurice Bensoussan	8/29/2018
No. 20160511439-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511439-01 SunTrust Robinson Humphrey, Inc.	8/28/2018
No. 20120346239-05	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120346239-05 Morgan Stanley & Co. LLC	8/23/2018
No. 20160511376-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511376-01 Chardan Capital Markets LLC	7/2/2018
No. 20160511443-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511443-01 R.W. Pressprich & Co.	5/21/2018
No. 20160511369-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511369-01 BMA Securities, LLC	5/21/2018
No. 20160511367-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511367-01 BB&T Securities, LLC	5/18/2018
No. 20130368360-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130368360-01 Instinet, LLC	4/11/2018
No. 20100215956-02	Order Accepting Offer of Settlement No. 20100215956-02 Lek Securities Corporation	2/27/2018

Enforcement No.	Title	Date
No. 20130371845-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130371845-01 Jefferies LLC	12/18/2017
No. 20150442002-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150442002-01 G1 Execution Services, LLC	12/11/2017
No. 20130354682-02	Order Accepting Offer of Settlement No. 20130354682-02 Lightspeed Trading, LLC	11/09/2017
No. 20140437801-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140437801-01 Merrill Lynch, Pierce, Fenner & Smith Incorporated	10/31/2017
No. 20150457981-04	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150457981-04 GTS Securities LLC	10/26/2017
No. 20150442333-03	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150442333-03 Chimera Securities, LLC	10/04/2017
No. 20140423775-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140423775-01 Ronin Capital, LLC	9/26/2017
No. 20140416350-03	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140416350-03 RBC Capital Markets, LLC	9/20/2017
No. 20150480820-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150480820-01 Aegis Capital Corp.	9/20/2017
No. 20140412867-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140412867-01 Dawson James Securities, Inc.	9/01/2017
No. 20130393135-05	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130393135-05 Deutsche Bank Securities Inc.	7/27/2017
No. 20160489184-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160489184-01 Raymond James & Associates, Inc.	7/17/2017
No. 20140399285-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140399285-01 GFI Securities LLC	7/17/2017
No. 20150458588-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150458588-01 TD Securities (USA) LLC	7/11/2017
No. 20120348296-03	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120348296-03 J.P. Morgan Securities LLC	6/28/2017
No. 20130354629-04	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130354629-04 Citigroup Global Markets Inc.	6/09/2017
No. 20120347730-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120347730-02 Interactive Brokers, LLC	5/23/2017
No. 20140411317-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140411317-02 Old Mission Capital, LLC	5/3/2017
No. 20130391658-05	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130391658-05 Two Sigma Securities, LLC	4/6/2017
No.20130365748-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130365748-01 Barclays Capital, Inc.	4/5/2017
No. 20120316421-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120316421-01 Morgan Stanley & Co. LLC	4/5/2017
No. 20150444790-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150444790-01 Xambala Capital, LLC	1/24/2017
No. 20140414536-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140414536-01 R.W. Pressprich & Co.	1/19/2017
No. 20110289645-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110289645-02 Maxim Group LLC	1/4/2017
No. 20080148227-04	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080148227-04 Ben James Raatz	1/3/2017
No. 20080148227-03	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080148227-03 Lawrence R. Kajmowicz	1/3/2017

Enforcement No.	Title	Date
No. 20140413222-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140413222-01 Tradebot Systems, Inc.	12/20/2016
No. 20130385533-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130385533-01 SAL Equity Trading, GP (f/k/a Susquehanna Capital Group)	12/16/2016
No. 20140438204-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140438204-02 Cantor Fitzgerald & Co.	12/05/2016
No. 20120332393-05	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120332393-05 ABN AMRO Clearing Chicago LLC	11/14/2016
No. 20150480828-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150480828-01 Maxim Group LLC	11/07/2016
No. 20150449128-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150449128-01 Wells Fargo Securities, LLC	11/02/2016
No. 20140430990-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430990-02 Jump Trading, LLC	10/31/2016
No. 20100235180-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100235180-01 Citadel Securities, LLC	10/19/2016
No. 20150442330-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150442330-02 BNY Mellon Capital Markets, LLC	10/07/2016
No. 20160490438-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160490438-02 Citigroup Global Markets Inc.	09/27/2016
No. 20140416239-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140416239-01 Aegis Capital Corp.	09/02/2016
No. 20120342559-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120342559-01 Nomura Securities International, Inc.	07/19/2016
No. 20130375865-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130375865-02 Essex Radcz LLC	07/11/2016
No. 20120316429-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120316429-02 Citigroup Global Markets Inc.	04/22/2016
No. 20120352200-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120352200-02 Vandham Securities Corp.	04/01/2016
No. 20120344551-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120344551-02 Ascendiant Capital Markets, LLC	03/11/2016
No. 20100243866-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120323306-02 WEDB Securities LLC	02/25/2016
No. 20130379324-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130379324-02 Marcus Carlos Rodriguez	02/25/2016
No. 20140416264-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140416264-01 WEDB Securities LLC	02/03/2016

Enforcement No.	Title	Date
No. 20120323306-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120323306-02 UBS Securities LLC	12/29/2015
No. 20110288918-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110288918-02 Canaccord Genuity Inc.	11/13/2015
No. 20120336954-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120336954-01 Credit Suisse Securities (USA) LLC	09/11/2015
No. 20120337081-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120337081-01 VFinance Investments, Inc.	7/16/2015
No. 20100254907-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100254907-01 Chardan Capital Markets LLC	6/17/2015
No. 20120348379-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120348379-01 Citadel Securities LLC	6/04/2015
No. 20120321457-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120321457-01 D.A. Davidson & Co.	5/01/2015
No. 20120310864-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310864-01 Stock USA Execution Services, Inc.	04/10/2015
No. 20100243866-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100243866-01 Scout Trading, LLC.	04/07/2015
No. 20130390807-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130390807-01 Stifel, Nicolaus & Company, Incorporated	03/04/2015

Enforcement No.	Title	Date
No. 20130358293-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130358293-02 First Clearing, LLC.	12/19/2014
No. 20100238966-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100238966-02 Instinet, LLC.	12/19/2014
No. 20120351796-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120351796-01 Lime Brokerage LLC	12/12/2014
No. 20120316473-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120316473-02 TradeStation Securities Inc.	12/05/2014
No. 20120310292-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310292-01 J.P. Morgan Securities LLC.	10/28/2014
No. 20120334855-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120334855-01 Aegis Capital Corp.	10/15/2014
No. 20120337068-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120337068-01 Stifel, Nicolaus & Company, Inc.	9/25/2014
No. 20110294841-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110294841-01 Lightspeed Trading, LLC	8/27/2014
No. 20120309147-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120309147-01 Merrill Lynch, Pierce, Fenner & Smith Inc.	8/7/2014
No. 20120328903-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120328903-01 StockCross Financial Services, Inc.	7/31/2014
No. 20120330808-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120330808-01 Jump Trading, LLC	7/22/2014
No. 20120344050-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120344050-01 Janney Montgomery Scott LLC	7/11/2014
No. 20100223345-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100223345-02 Citadel Securities LLC	6/16/2014
No. 20110261076-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261076-01 Wedbush Securities Inc.	5/15/2014
No. 20110293562-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110293562-01 Nomura Securities International Inc.	5/14/2014
No. 20100215959-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100215959-01 Spartan Securities Group, Ltd.	5/13/2014
No. 20110294921-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110294921-01 Morgan Keegan & Company, LLC	5/5/2014
No. 20100249543-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100249543-01 National Financial Services, LLC	5/2/2014
No. 20110262985-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110262985-01 Barclays Capital Inc.	4/28/2014
No. 20110261650-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261650-02 Tradition Asiel Securities Inc.	2/19/2014
No. 20110303916-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110303916-02 Essex Radez LLC	2/5/2014
No. 20110293752-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110293752-01 OCTEG, LLC	1/13/2014
No. 20110261576-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261576-02 Electronic Transaction Clearing, Inc.	1/7/2014
No. 20110263030-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110263030-01 Archipelago Securities, LLC	1/7/2014

Enforcement No.	Title	Date
No. 20110293536-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110293536-01 J.P. Morgan Securities LLC	12/23/2013
No. 20090169999-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090169999-02 Merrill Lynch, Pierce, Fenner & Smith Inc.	11/18/2013
No. 20120327309-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120327309-01 Stock USA Execution Services, Inc.	11/18/2013
No. 20120347385-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120347385-01 RBC Capital Markets, LLC	10/15/2013
No. 20090191797-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090191797-01 Barrett & Company, Inc.	09/20/2013
No. 20110261444-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261444-02 Lime Brokerage LLC	09/16/2013
No. 20120324346-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120324346-01 Cowen and Company	07/27/2013
No. 20120325257-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120325257-01 Newedge USA, LLC	07/10/2013
No. 20110260978-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110260978-01 Stifel, Nicolaus & Company, Inc.	07/06/2013
No. 20100215948-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261562-01, Murphy & Durieu	06/14/2013
No. 20100215948-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120309824-01, The Benchmark Company, LLC	06/11/2013
No. 20100215948-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120316791-01, Chardan Capital Markets LLC	06/11/2013
No. 20080148650-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080148650-01 Steven Longo	06/07/2013
No. 20100215948-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100215948-02, Barclays Capital, Inc.	05/28/2013
No. 20100215909-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100215909-02, Cowen and Company, LLC	05/28/2013
No. 20090173810-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090173810-02, Credit Suisse Securities (USA) LLC	04/25/2013
No. 20100214899-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100214899-02, IMC-Chicago, LLC	04/05/2013
No. 20110274228-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110274228-01, Interactive Brokers LLC	04/05/2013
No. 20090170026-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090170026-02, Wedbush Securities Inc.	04/02/2013
No. 20090170074-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090170074-01, Goldman, Sachs & Co.	03/12/2013

Enforcement No.	Title	Date
No. 20100215978-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100215978-01, RBC Capital Markets, LLC	12/14/2012
No. 20100211739-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100211739-01, National Financial Services LLC	11/21/2012
No. 20090172547-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090172547-02, Morgan Stanley & Co. LLC	11/21/2012
No. 20110261119-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261119-01, Sandler, O'Neil & Partners, L.P.	11/13/2012
No. 20100235041-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100235041-02, Goldman, Sachs & Co.	09/14/2012
No. 20100224958-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100224958-02, Tradelink Securities, LLC	08/31/2012
No. 20080142615-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080142615-01, Lazard Capital Markets LLC	08/29/2012
No. 20110265711-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110265711-01, HAP Trading, LLC	08/26/2012
No. 20090189588-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090189588-01, Merrill Lynch, Pierce, Fenner & Smith Incorporated	06/01/2012
No. 20090189583-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. No. 20090189583-01, Manhattan Beach Trading Financial Services, Inc.	06/01/2012
No. 20090208265-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. No. 20090208265-02, Janney Montgomery Scott LLC	04/24/2012
No. 20100242271-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100242271-01, OCTEG, LLC	03/08/2012
No. 20080126066-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080126066-01, Citigroup Global Markets Inc.	02/03/2012
No. 20090210827-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090210827-01, Credit Agricole Cheuvreux North America, Inc.	01/04/2012

Enforcement No.	Title	Date
No. 20110286830-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110286830-01, Jefferies & Company, Inc.	08/14/2011
No. 20090170083-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090170083-01, Spartan Securities Group, LTD	12/21/2011
No. 20090189358-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090189358-01, Gelber SEcurities, LLC	12/16/2011
No. 20090166421-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090166421-01, Natixis Bleichroeder, LLC	08/14/2011
No. 20090196642-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090196642-01, Blue Fire Capital, LLC	08/14/2011
No. 2010022922702NQ	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2010022922702NQ, TD Ameritrade, Inc.	08/11/2011
No. 20090189355-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090189355-01, BNP Paribas Securities Corp.	06/26/2011
No. 20080151815-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080151815-01, Morgan Stanly & Co. Incorporated	05/13/2011
No. 20090169985-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090169985-01, Blue Fire Capital, LLC	04/05/2011
No. 20100215972-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100215972-01, Pershing LLC	03/18/2011

Enforcement No.	Title	Date
No. 20080123329-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080123329-01, Cantor Fitzgerald & Co.	12/23/2010
No. 20070111525-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20070111525-01, Seaton Securities Group, Inc.	11/12/2010
No. 20080150670-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080150670-02, BTIG, LLC	10/27/2010
No. 20090170076-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090170076-01, Pacific Crest Securities LLC	10/20/2010
No. 20080127669-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080127669-01, Sanford C. Bernstein & Co. LLC	09/30/2010
No. 20080122967-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080122967-01, Robert W. Baird & Co.	08/25/2010
No. 20070103463-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20070103463-02, Cowen and Company	08/25/2010
No. 20070110187-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20070110187-01, First Southwest Company	08/19/2010
No. 20090191300-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090191300-01, Cantor Fitzgerald & Co.	06/29/2010
No. 20090190213-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090190213-01, Lime Brokerage LLC	06/29/2010
No. 20090186862-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090186862-01, Citigroup Global Markets Inc.	06/29/2010
No. 20090186673-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090186673-01, Automated Trading Desk Financial Services, LLC	06/29/2010
No. 20090186308-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090186308-01, Genesis Securities, LLC	06/29/2010
No. 20090186066-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090186066-01, Biremis, Corp.	06/29/2010
No. 20090183872-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090183872-01, Scottrade, Inc.	06/29/2010
No. 20080159677-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080159677-01, OCTEG, LLC	06/29/2010
No. 20080159388-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080159388-01, BNP Paribas Securities Corp.	06/29/2010
No. 200815292-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 200815292-01, Citadel Securities LLC	06/29/2010
No. 20080152870-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080152870-01, Wedbush Securities Inc.	06/29/2010
No. 2008152821-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2008152821-01, Instinet, LLC	06/29/2010
No. 20080152661-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080152661-01, UBS Securities LLC	06/29/2010
No. 2008152658-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2008152658-01, Merrill Lynch, Pierce, Fenner, & Smith Incorporated	06/29/2010
No. 2008136738-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2008136738-01, Pershing, LLC	06/29/2010
No. 20080129730-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080129730-01, TD Ameritrade Clearing, Inc.	06/29/2010
No. 20080129708-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080129708-01, Assent, LLC	06/29/2010
No. 20070112699-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20070112699-01, LightSpeed Trading, LLC	06/29/2010
No. 20070103806-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20070103806-01, Robert W. Baird & Co.	06/29/2010
No. 20070093367-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20070093367-01, Goldman Sachs Execution & Clearing, L.P.	06/29/2010
No. 20060043626-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20060043626-02, Natixis Bleichroeder LLC	06/29/2010
No. 20080123149-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080123149-01, Wedbush Morgan Securities, Inc.	04/30/2010
No. 20050031852-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20050031852-01, Domestic Securities, Inc.	04/06/2010

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