Cboe EDGX Disciplinary Actions

2018

Enforcement No. Title Date
No. 20170533749-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20170533749-02, Group One Trading, L.P. 10/15/2018
No. 20120314807-13 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-13, Simon Librati, SMF Trading, Inc. d/b/a/ World-Xecution Strategies 09/27/2018
No. 20120314807-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-04, Maurice Bensoussan 09/27/2018
No. 20120346239-09 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120346239-09, Morgan Stanley & Co. LLC 08/23/2018
No. 20150467547-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150467547-03, Sumo Capital, LLC 06/07/2018
No. 20140414439-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140414439-04, Wolverine Trading, LLC 05/31/2018
No. 20130379938-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130379938-05, Deutsche Bank Securities, Inc. 05/30/2018
No. 20150452814-09 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150452814-09, J.P. Morgan Securities LLC 05/14/2018
No. 20160513371-06 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160513371-06, Sanford C. Bernstein & Co., LLC 04/16/2018
No. 20130368360-08 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130368360-08, Instinet, LLC 04/12/2018
No. 20100215956-07 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100215956-07, Lek Securities Corporation 04/11/2018
No. 20140437870-06 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140437870-06, Electronic Transaction Clearing, Inc. 03/08/2018
No. 20140411132-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140411132-03, Scottrade, Inc. 03/08/2018
No. 20160486154-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160486154-05, Dash Financial Technologies, LLC 01/26/2018

2017

Enforcement No. Title Date
No. 20140399429-07 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140399429-07, TradeStation Securities, Inc. 12/28/2017
No. 20130354682-07 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130354682-07, Lightspeed Trading LLC 12/12/2017
No. 20140437801-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140437801-02, Merrill Lynch, Pierce, Fenner & Smith Inc. 11/30/2017
No. 20140412354-08 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140412354-08, Interactive Brokers LLC 11/16/2017
No. 20150442333-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015044233-02, Chimera Securities, LLC 11/02/2017
No. 20140416350-06 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140416350-06, RBC Capital Markets LLC 10/20/2017
No. 20150452812-07 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150452812-07, ITG, Inc. 10/11/2017
No. 20150444461-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150444461-01, KCG Americas LLC 08/14/2017
No. 20120348296-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120348296-05, J.P. Morgan Securities LLC 07/27/2017
No. 20130376517-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130376517-04, Instinet, LLC 07/21/2017
No. 20120347730-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120347730-05, Interactive Brokers LLC 06/21/2017
No. 20130393135-11 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130393135-11, Deutsche Bank Securities Inc. 06/19/2017
No. 20140411317-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140411317-03, Old Mission Capital, LLC 06/01/2017
No. 20130391658-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130391658-03, Two Sigma Securities, LLC 05/04/2017
No. 20150468543-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150468543-04, Blue Fire Capital, LLC 04/17/2017
No. 20110297130-13 Statement of Charges No. 20110297130-13, Lek Securities Corporation and Samuel Frederik Lek 03/27/2017
No. 20130354682-07 Statement of Charges No. 20130354682-07, Lightspeed Trading, LLC 03/09/2017
No. 20150444790-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150444790-05, Xambala Capital, LLC 02/24/2017

2016

Enforcement No. Title Date
No.: 20140430992-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430992-02, KCG Americas LLC 12/19/2016
No.: 20140430990-07 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430990-07, Jump Trading, LLC 11/30/2016
No.: 20140430988-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No.20140430988-04, BNP Paribas Securities Corp. 11/30/2016
No.: 20100215956-07 Statement of Charges No. 20100215956-07, Lek Securities Corporation 11/22/2016
No.: 20140406468-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140406468-04, Wolverine Execution Services, LLC 11/17/2016
No.: 20160490438-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160490438-04, Citigroup Global Markets Inc. 11/04/2016
No.: 20120344693-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120344693-04, Merrill Lynch, Pierce, Fenner & Smith Incorporated 10/25/2016
No.: 20140397939-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140397939-01, Ronin Capital, LLC 09/01/2016
No.: 20130367785-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130367785-05, Nomura Securities International, Inc. 08/08/2016
No.: 20140397934-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140397934-01, Xambala Capital, LLC 01/07/2016

2015

Enforcement No. Title Date
No.: 20120323306-08 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120323306-08, UBS Securities LLC 12/31/2015