ISE Disciplinary Actions

2019

Enforcement No. Title Date
No. 2016051745701 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2016051745701,
Citigroup Derivatives Markets Inc.
1/25/2019
No. 2015045758301 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2015045758301,
Lek Securities Corporation
1/24/2019