Disciplinary Information

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  • Year: 

     

December 01, 2014:   14-0144 Merrill Lynch, Pierce, Fenner & Smith Incorporated 
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December 01, 2014:   14-0142 Citigroup Global Markets Inc. 
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December 01, 2014:   14-0141 HAP Trading, LLC 
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December 01, 2014:   14-0129 Group One Trading, L.P. 
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December 01, 2014:   14-0126 Spot Trading LLC 
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December 01, 2014:   14-0115 GTS Securities LLC 
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December 01, 2014:   14-0099 PTR, Inc. 
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December 01, 2014:   14-0094 ABN AMRO Clearing Chicago, LLC 
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December 01, 2014:   14-0047 Goldman Sachs & Co. 
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December 01, 2014:   14-0039 Eroom Securities LLC 
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