Disciplinary Information

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  • Year: 

     

July 12, 2016:   16-0019/ 20150444862 MNR Executions, LLC 
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July 12, 2016:   15-0080/ 20150464504 Citigroup Global Markets Inc. 
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July 12, 2016:   15-0071/ 20150459631 Virtu Financial BD LLC 
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July 12, 2016:   15-0040/ 20150448985 Electronic Transaction Clearing, Inc. 
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July 12, 2016:   15-0039/ 20150449107 Morgan Stanley & Co. LLC and Ariel Litan 
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June 02, 2016:   16-0015/ 20150459554 Barclays Capital Inc. 
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June 02, 2016:   16-0011/ 20150461188 J.P. Morgan Securities LLC 
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June 02, 2016:   15-0092/ 20150459441 Wolverine Trading, LLC 
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June 02, 2016:   15-0091/ 20150466165 Merrill Lynch, Pierce, Fenner & Smith Inc. 
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May 25, 2016:   15-0034/ 20150446531 DWR Securities, LLC (Hearing Decision) 
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