Disciplinary Information

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  • Year: 

     

December 30, 2016:   15-0029/ 20150445128 aand 20150466717 LiquidPoint, LLC 
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December 30, 2016:   15-0028/ 20150445117 and 20150468011 Equitec Trading, LLC 
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December 30, 2016:   15-0027/ 20150445103 Liquid Capital Markets, LLC 
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December 30, 2016:   15-0018/ 20150442821 DRO WST Trading, LLC 
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December 30, 2016:   14-0189/ 20150439267 CTC XS, LLC 
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December 30, 2016:   14-0188/ 20150439266 and 20150466722 Associated Options, Inc. 
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December 29, 2016:   16-0034/ 20140418701 Automated Trading Desk Financial Services, LLC 
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December 29, 2016:   16-0033/ 20160523223 J.P. Morgan Clearing Corp 
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December 29, 2016:   16-0028/ 20150441083 and 20160484358 Marathon Trading Group LLC 
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December 29, 2016:   15-0020/20150442656 and 20150466721 Merrill Lynch, Pierce, Fenner & Smith Incorporated 
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