Disciplinary Actions

Disciplinary Information

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  • Year: 

     

June 02, 2016:   C2 15-0015/ 20150466172 Merrill Lynch, Pierce, Fenner & Smith Inc. 
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April 11, 2016:   C2 16-0001/ 20150459871 Wolverine Execution Services, LLC 
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December 29, 2015:   C2 15-0014/ 20150464233 LiquidPoint, LLC 
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December 29, 2015:   C2 15-0013/ 20150467455 Wolverine Execution Services, LLC 
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December 29, 2015:   C2 15-0012/ 20150462900 Israel A. Englander & Co., LLC 
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November 25, 2015:   C2 15-0011/ 20150462898 BMO Capital Markets Corp. 
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November 11, 2015:   C2 15-0007/ 20150457261 J.P. Morgan Clearing Corp. 
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October 20, 2015:   C2 15-0008 Optiver US, LLC 
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September 10, 2015:   C2 15-0010 Compass Professional Services, LLC 
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September 10, 2015:   C2 15-0003 HRT Financial, LLC 
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