Cboe Global Markets

Cboe Equities Exchanges Disciplinary Actions

File No. USE-1907-05 | Star No. 20180571661-01
May 10, 2021
Letter of Consent No. 20180571661-01, Wolverine Execution Services, LLC
File Nos. USRI-9064-03 and USRI-8152-03
May 4, 2021
Letter of Consent No. 20180610167, Global Execution Brokers, LP
File No. USRI-9680-03
May 4, 2021
Letter of Consent File No. USRI-9680-03, Susquehanna Securities, LLC
File No. USRI-3401-05 | Star No. 20170555959
April 27, 2021
Letter of Consent No. 20170555959, National Financial Services, LLC
File No. USRI-8018-05 | Star No. 20180577360
April 20, 2021
Letter of Consent No. 20180577360, HSBC Securities (USA) Inc.
File No. USRI-7375-05 | Star No. 20170565048-02
March 30, 2021
Letter of Consent No. 20170565048-02, RBC Capital Markets, LLC
File No. USRI-8986-03 | Star No. 20190629791
January 27, 2021
Letter of Consent No. 20190629791, Susquehanna Securities, LLC
File No. USRI-6745-05 | Star No. 20160515492-01
January 4, 2021
Letter of Consent No. 20160515492-01, GTS Securities LLC