CFE Disciplinary Decisions

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  • Year: 

     

April 27, 2020:   CFE 20-0001 Morgan Stanley & Co. LLC. 
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April 27, 2020:   CFE 19-0005 MNR Executions LLC. 
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January 16, 2020:   CFE 19-0007 USFI 595/498 Deutsche Bank Securities Inc. 
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January 16, 2020:   CFE 19-0006 USFI 554/499 Merrill Lynch International 
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January 16, 2020:   CFE 19-0006 USFI 554/499 Danske Bank A/S 
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September 17, 2019:   CFE 18-0003 USFI 80/18 Frank Cerisano 
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August 26, 2019:   CFE 19-0004 USFI 387/269 CSC Futures (HK) Limited 
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May 22, 2019:   CFE 19-0002 Consolidated Trading LLC 
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April 03, 2019:   CFE 19-0001 Straits Financial LLC 
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April 03, 2019:   CFE 18-0005 Vicko Perasovic 
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