Disciplinary Actions

2019

Enforcement No. Title Date
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., Respondent
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, Respondent
2/8/2019
No. 2016051145101 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051145101
The Vertical Group. Respondent
1/31/2019
No. 2013039483301 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2013039483301
ITG Inc., Respondent
1/29/2019