Disciplinary Actions

2022

Enforcement No. Title Date
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