Cboe Options Disciplinary Actions

2019

Enforcement No. Title Date
File No. USRI-8701 | Star No. 20160504893 Letter of Consent No. 20160504893, SG Americas Securities, LLC 11/27/2019
File No. USRI-8751 | Star No. 20180589340 Letter of Consent No. 20180589340, Jefferies LLC 11/21/2019
File No. USE-2160 | Star Nos. 20160511052 and 20180585409 Letter of Consent Nos. 20160511052 and 20180585409, BNP Paribas Securities Corp. 11/15/2019
File No. USRI-8694 | Star No. 20170553577 Letter of Consent No. 20170553577, Consolidated Trading LLC 11/15/2019
File Nos. USE-1988 and USE-2297 | Star Nos. 20170555774 and 20180562484 Letter of Consent Nos. 20170555774 and 20180562484, CMZ Trading, LLC 11/12/2019
File No. USE-1710 | Star No. 20160487713 Letter of Consent No. 20160487713, RBC Capital Markets, LLC 10/18/2019
File No. USRI-8702 | Star No. 20160517268 Letter of Consent No. 20160517268, TJM Investments, LLC 10/18/2019
File No. USRI-8750 | Star No. 20180579083 Letter of Consent No. 20180579083, Group One Trading, L.P. 10/08/2019
File No. USRI-7935 | Star No. 20160509336 Letter of Consent No. 20160509336, RBC Capital Markets, LLC 10/02/2019