Cboe Options Exchange Disciplinary Actions

2020

Enforcement No. Title Date
File No. USE-2023 | Star No. 20180571734 Letter of Consent No. 20180571734, Susquehanna Investment Group 05/28/2020
File No. USRI-8749 | Star No. 20170559003 Letter of Consent No. 20170559003, SG Americas Securities, LLC 04/08/2020
File No. USRI-8779 | Star No. 20180589363 Letter of Consent No. 20180589363, Two Sigma Securities, LLC 02/13/2020
File No. USE-2005 | Star Nos. 20180562511 and 20180571704 Letter of Consent Nos. 20180562511 and 20180571704 , Lupo Securities, LLC 02/04/2020
File No. USRI-8706 | Star No. 20180592148 Letter of Consent No. 20180592148, Sumo Capital, LLC 01/30/2020
File No. USE-1690 | Star No. 20160487706 Letter of Consent No. 20160487706, Credit Suisse Securities (USA) LLC 01/29/2020
File No. USRI-8681 | Star No. 20180590083 Letter of Consent No. 20180590083, Citadel Securities LLC 01/23/2020
File No. USE-1822 | Star No. 20170531285 Letter of Consent No. 20170531285, Morgan Stanley & Co. LLC 01/22/2020
File Nos. USRI-8695 and USRI-8835 | Star Nos. 20170546006 and 20180608810 Consolidated Offer of Settlement and Letter of Consent Nos. 20170546006 and 20180608810, Cutler Group, LP 01/02/2020

2019

Enforcement No. Title Date
File No. USRI-8671 | Star No. 20120336673-04 Letter of Consent No. 20120336673-04, Lek Securities Corporation & Samuel Frederik Lek 12/17/2019
File No. USE-1784 | Star No. 20170531296 Letter of Consent No. 20170531296, BNP Paribas Securities Corp. 12/10/2019
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