Disciplinary Information

  • Year: 

     

April 25, 2018:   18-0009/ 20170546033 and 20180574341 Citadel Securities LLC 
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April 25, 2018:   18-0008/ 20150466866 Spot Trading L.L.C. 
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April 25, 2018:   17-0058/ 20170546034 and 20170566500 Wolverine Trading, LLC 
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April 25, 2018:   17-0057/ 20160526272 Trinity Executions, LLC and Timothy Steinmetz 
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March 15, 2018:   18-0005/ 20150464143 SG Americas securities, LLC 
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March 15, 2018:   18-0004/ 20150451875 Lek Securities Corporation 
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March 15, 2018:   17-0065/ 20150443321 Travis Potter and Thomas Eason 
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March 15, 2018:   17-0059/ 20150453500 UBS Securities LLC 
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February 13, 2018:   18-0002/ 20150443242 Deutsche Bank Securities, Inc. 
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February 05, 2018:   18-0001/ 20160499339 Instinet, LLC 
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