Disciplinary Information

  • Year: 

     

April 10, 2017:   17-0010/ 20130390257 SG Americas Securities, LLC 
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April 06, 2017:   16-0023/ 20150459600 MNR Executions, LLC and Ryan Boggs 
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March 30, 2017:   16-0024/ 20150459439 Goldman Sachs Execution & Clearing, L.P. 
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February 17, 2017:   17-0002/ 20150467031 Lupo Securities, LLC 
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February 17, 2017:   15-0043/ 20150449993 Quiet Light Securities, LLC 
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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:   15-0018/ 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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