Legal and Regulatory

 

Disciplinary Actions


Disciplinary Information


Disciplinary Actions


February 12, 2015:   C2 14-0007 Nomura Securities International, Inc. 
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February 12, 2015:   C2 14-0006 Merrill Lynch Professional Clearing Corp. 
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February 12, 2015:   C2 14-0005 XR Securities LLC 
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February 12, 2015:   C2 14-0002 Liquid Capital Markets, LLC 
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September 08, 2014:   C2 14-0001 Morgan Stanley & Co. LLC 
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April 29, 2014:   C2 13-0001 Citadel Securities LLC 
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March 18, 2013:   C2 12-0001 Walleye Trading, LLC 
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December 20, 2012:   C2 12-0002 Belvedere Trading, L.L.C. 
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