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Disciplinary Actions


Disciplinary Information


Disciplinary Actions


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July 16, 2015:   C2 15-0001 Goldman, Sachs & Co. 
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June 08, 2015:   C2 15-0002 Volant Liquidity, LLC 
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June 08, 2015:   C2 14-0004 Lime Brokerage, LLC 
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June 04, 2015:   C2 14-0003 ABN AMRO Clearing Chicago LLC 
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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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