Disciplinary Actions

Disciplinary Information

  • Year: 

     

September 13, 2017:   C2 17-0001/ 20150443193 Goldman Sachs & Co. LLC 
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May 18, 2017:   15-0061/ 20150455672 and C215-0006/ 20150455703 Lek Securities Corporation - Hearing 
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February 16, 2017:   14-0177/20140438963 and C2 14-0003/ 20140439040 ABN AMRO Clearing Chicago LLC 
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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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