Cboe Options Disciplinary Actions

2019

Enforcement No. Title Date
File No. USRI-8702 | Star No. 20160517268 Letter of Consent No. 20160517268, TJM Investments, LLC 10/18/2019
File No. USE-1710 | Star No. 20160487713 Letter of Consent No. 20160487713, RBC Capital Markets, 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