Disciplinary Information

  • Year: 

     

September 13, 2017:   17-0048/ 20150451921 UBS Securities LLC 
Read more...

September 13, 2017:   17-0046/ 20150443193 Goldman Sachs & Co. LLC 
Read more...

September 13, 2017:   17-0045/ 20150443152 Timber Hill LLC 
Read more...

September 13, 2017:   17-0018/ 20150467036 Brian Ludden LLC 
Read more...

September 13, 2017:   17-0009/ 20150439273 20150467056 and 20170528113 Hybrid Trading & Resources, LLC 
Read more...

September 13, 2017:   16-0014/ 20150459875 Israel A. Englander & Co., LLC 
Read more...

July 03, 2017:   17-0044/ 20150472707 Global Execution Brokers, LP 
Read more...

July 03, 2017:   17-0043/ 20160506895 Consolidated Trading LLC 
Read more...

July 03, 2017:   17-0024/ 20150443129 Wolverine Trading, LLC 
Read more...

May 18, 2017:   15-0061/ 20150455672 and C215-0006/ 20150455703 Lek Securities Corporation - Hearing 
Read more...