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Cboe Global Markets

Cboe Equities Exchanges Disciplinary Actions

File No. USRI-8537-05 | Star No. 20190625174-01
December 2, 2020
Letter of Consent No. 20190625174-01, Wolverine Trading, LLC
File No. USRI-2577-05 | Star No. 20140402461
August 7, 2020
Letter of Consent No. 20140402461, Tradebot Systems, Inc.
File No. USRI-7313 | Star No. 20150457555-16
July 6, 2020
Letter of Consent No. 20150457555-16, Douglas A. Sanzone
File No. USRI-7313 | Star No. 20150457555-07
July 6, 2020
Letter of Consent No. 20150457555-07, John Grifonetti
File No. USRI-3325 | Star No. 20150451635
April 9, 2020
Letter of Consent No. 20150451635, Cantor Fitzgerald & Co.
File No. USE-1780 | Star No. 20170530827
March 25, 2020
Letter of Consent No. 20170530827, Bay Crest Partners, LLC
File No. USRI-3482 | Star No. 20170562107
February 24, 2020
Letter of Consent No. 20170562107, ITG Inc. n/k/a Virtu ITG, LLC
File No. USE-1784 | Star No. 20170531296
January 9, 2020
Letter of Consent No. 20170531296, BNP Paribas Securities Corp.
File No. USRI-6734 | Star No. 20140435574
January 9, 2020
Letter of Consent No. 20140435574, Jefferies Execution Services Inc., n/k/a Jefferies LLC