Disciplinary Information

  •  

  • Year: 

     

April 11, 2016:   16-0009/ 20150459468 Sumo Capital, LLC 
Read more...

April 11, 2016:   16-0008/ 20150466925 Consolidated Trading LLC 
Read more...

April 11, 2016:   16-0007/ 20150459680 Bluefin Trading, LLC 
Read more...

April 11, 2016:   16-0006/ 20150459670 Morgan Stanley & Co. LLC 
Read more...

April 11, 2016:   16-0005/ 20150459683 ITG Derivatives LLC 
Read more...

April 11, 2016:   16-0004/ 20150459556 Dash Financial LLC 
Read more...

April 11, 2016:   16-0003/ 20150459676 Wolverine Execution Services, LLC 
Read more...

April 11, 2016:   16-0002/ 20150474076 Alphagen Securities LLC 
Read more...

April 11, 2016:   15-0104/ 20150467516 Equitec Proprietary Markets, LLC 
Read more...

April 11, 2016:   15-0084/ 20150441486 Timber Hill LLC 
Read more...