Disciplinary Information

  • Year: 

     

April 23, 2019:   15-0065/20150456213 Equitec Proprietary Markets, LLC Hearing Decision 
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April 04, 2019:   14-0177/ 20140438963 and C2 14-0003/ 20140439040 ABN AMRO Clearing Chicago LLC 
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April 03, 2019:   14-0200 and 17-0034/ 20150467862 and 20150439292 DRW Securities, L.L.C. 
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February 01, 2019:   File No. 19-0002 Akuna Securities LLC 
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January 31, 2019:   19-0007/ 20150457583 Lek Securities Corporation 
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January 31, 2019:   19-0006/ 20160485982 UBS Securities LLC 
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January 31, 2019:   19-0004/ 20160517457 Citigroup Derivatives Markets Inc. 
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January 31, 2019:   18-0007/ 20160486165 MNR Executions, LLC, Ronald Myers and Andrew Clouthier 
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January 31, 2019:   17-0055/ 20150451886-02 Susquehanna Securities 
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January 31, 2019:   15-0019 and 17-0004/ 20150444988 and 20150467037 Cardinal Capital Management LLC 
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