Disciplinary Actions

2020

Enforcement No. Title Date
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