Cboe EDGA Equities Exchange Disciplinary Actions
2020
| Enforcement No. | Title | Date |
|---|---|---|
| File No. USRI-7313 | Star No. 20150457555-08 | Letter of Consent No. 20150457555-08, John Grifonetti | 07/06/2020 |
| File No. USRI-7313 | Star No. 20150457555-17 | Letter of Consent No. 20150457555-17, Douglas A. Sanzone | 07/06/2020 |
| File No. USRI-3482 | Star No. 20170562107 | Letter of Consent No. 20170562107, ITG Inc. n/k/a Virtu ITG, LLC | 02/24/2020 |
| File No. USRI-6734 | Star No. 20140435574 | Letter of Consent No. 20140435574, Jefferies Execution Services Inc., n/k/a Jefferies LLC | 01/09/2020 |
2019
| Enforcement No. | Title | Date |
|---|---|---|
| File No. USRI-2820 | Star No. 20120347345 | Letter of Consent No. 20120347345, Credit Suisse Securities (USA) LLC | 12/20/2019 |
| File No. USE-2160 | Star No. 20160511052-06 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160511052-06, BNP Paribas Securities Corp. | 12/16/2019 |
| File No. USRI-1803 | Star No. 20110297130-10 through -13 | Consolidated Offer of Settlement No. 20110297130-10 through -13, Lek Securities Corporation & Samuel Frederik Lek | 12/06/2019 |
| File No. USRI-1857 | Star No. 20130375726 | Letter of Consent No. 20130375726, Lime Brokerage LLC | 09/13/2019 |
| File No. USRI-2302 | Star No. 20120351875-06 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120351875-06, Clear Street Markets, LLC | 07/24/2019 |
| File No. USE-1818 | Star No. 20170530895-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20170530895-01, Belvedere Trading LLC | 07/17/2019 |
| File No. USRI-3351 | Star No. 20140423738-10 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140423738-10, Clearpool Execution Services, LLC | 07/09/2019 |
| File No. USE-1260 | Star No. 20150434901-05 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150434901-05, Seven Points Capital, LLC | 07/01/2019 |
| No. 20150452816-06 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150452816-06, Sanford C. Bernstein & Co., LLC | 06/21/2019 |
| No. 20170557921-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20170557921-03, RBC Capital Markets, LLC | 05/07/2019 |
| No. 20150467692-08 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150467692-08, GTS Securities LLC | 02/01/2019 |
2018
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20150465900-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150465900-03, Citigroup Global Markets Inc. | 12/04/2018 |
| No. 20150483276-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150483276-04, SG Americas Securities, LLC | 11/26/2018 |
| No. 20140430991-07 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430991-07, Morgan Stanley & Co. LLC | 11/16/2018 |
| No. 20120314807-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-03, Maurice Bensoussan | 09/27/2018 |
| No. 20120314807-12 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-12, Simon Librati, SMF Trading, Inc. d/b/a/ World-Xecution Strategies | 09/27/2018 |
| No. 20120346239-08 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120346239-08, Morgan Stanley & Co. LLC | 08/23/2018 |
| No. 20130379938-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130379938-04, Deutsche Bank Securities, Inc. | 05/30/2018 |
| No. 20150452814-08 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150452814-08, J.P. Morgan Securities LLC | 05/14/2018 |
| No. 20160513371-05 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160513371-05, Sanford C. Bernstein & Co., LLC | 04/16/2018 |
| No. 20130368360-07 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130368360-07, Instinet, LLC | 04/12/2018 |
| No. 20100215956-06 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100215956-06, Lek Securities Corporation | 04/11/2018 |
| No. 20160486154-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160486154-04, Dash Financial Technologies, LLC | 01/26/2018 |
2017
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20140399429-06 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140399429-06, TradeStation Securities, Inc. | 12/28/2017 |
| No. 20130354682-06 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130354682-06, Lightspeed Trading LLC | 12/12/2017 |
| No. 20140412354-07 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140412354-07, Interactive Brokers LLC | 11/16/2017 |
| No. 20140416350-05 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140416350-05, RBC Capital Markets LLC | 10/20/2017 |
| No. 20150452812-06 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150452812-06, ITG, Inc. | 10/11/2017 |
| No. 20130376517-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130376517-03, Instinet, LLC | 07/21/2017 |
| No. 20120347730-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120347730-04, Interactive Brokers LLC | 06/21/2017 |
| No. 20130393135-10 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130393135-10, Deutsche Bank Securities Inc. | 06/19/2017 |
| No. 20140411317-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140411317-04, Old Mission Capital, LLC | 06/01/2017 |
| No. 20130391658-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130391658-02, Two Sigma Securities, LLC | 05/04/2017 |
| No. 20130365748-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130365748-02, Barclays Capital Inc. | 05/03/2017 |
| No. 20150468543-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150468543-03, Blue Fire Capital, LLC | 04/17/2017 |
| No. 20110297130-12 | Statement of Charges No. 20110297130-12, Lek Securities Corporation and Samuel Frederik Lek | 03/27/2017 |
| No. 20130354682-06 | Statement of Charges No. 20130354682-06, Lightspeed Trading, LLC | 03/09/2017 |
| No. 20150444790-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150444790-04, Xambala Capital, LLC | 02/24/2017 |
2016
| Enforcement No. | Title | Date |
|---|---|---|
| No.: 20140430988-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No.20140430988-03, BNP Paribas Securities Corp. | 11/30/2016 |
| No.: 20140430990-06 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430990-06, Jump Trading, LLC | 11/30/2016 |
| No.: 20100215956-06 | Statement of Charges No. 20100215956-06, Lek Securities Corporation | 11/22/2016 |
| No.: 20140406468-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140406468-03, Wolverine Execution Services, LLC | 11/17/2016 |
| No.: 20160490438-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160490438-03, Citigroup Global Markets Inc. | 11/04/2016 |
| No.: 20140402395-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140402395-02, Susquehanna Capital Group | 09/09/2016 |
| No.: 20130367785-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130367785-04, Nomura Securities International, Inc. | 08/08/2016 |
2015
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20130358242-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130358242-03, National Financial Services LLC | 09/18/2015 |
| No.: 20120310864-07 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310864-07, Stock USA Execution Services, Inc. | 05/08/2015 |
| No.: 20100238966 | Notice of Acceptance, Waiver, and Consent No. 20100238966, Instinet, LLC | 01/05/2015 |
2014
| Enforcement No. | Title | Date |
|---|---|---|
| 20120309897 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120309897, Legend Securities, Inc. (CRD No. 44952) | 10/13/2014 |
| 20110261076 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261076, Wedbush Securities Inc. (CRD No. 877) | 10/13/2014 |
2013
| Enforcement No. | Title | Date |
|---|---|---|
| 20110261576 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261576, Electronic Transaction Clearing, Inc. (CRD No. 146122) | 12/18/2013 |
| 20120309813 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120309813, ABN AMRO Clearing Chicago LLC (CRD No. 14020) | 09/09/2013 |