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