Disciplinary Actions

C2 Disciplinary Actions (Archive)

Effective May 14, 2018 Disciplinary Actions will be found on Cboe C2 Disciplinary Actions.  The links below provide access to filings published prior to that date.

  • 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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