Cboe Options Disciplinary Actions (Archive)

Cboe Options Disciplinary Actions (Archive)

Effective August 28, 2019 Disciplinary Actions will be found on Cboe Options Disciplinary Actions. The links below provide access to filings published prior to that date.

  • Year: 

     

August 28, 2019:   File No. USRI-8703 | Star No. 20180579081, Citadel Securities, LLC 
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August 01, 2019:   File No. USE-2296 | Star No. 20170544364, Sumo Capital, LLC 
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July 17, 2019:   File No. USE-1693 | Star No. 20160487695, Jefferies LLC 
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June 07, 2019:   File No. USE-1731 | Star No. 20160487717, SG Americas Securities, LLC 
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June 07, 2019:   File No. USRI-8696 | Star No. 20170560699, Newedge USA, LLC n/k/a SG Americas Securites, LLC 
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June 07, 2019:   File No. USRI-8680 | Star No. 20160511651, Morgan Stanley & Co. LLC 
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June 07, 2019:   File No. USRI-8697 | Star No. 20170566526, Marathon Trading Group, LLC 
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June 07, 2019:   File No. USRI-8679 | Star No. 20160502034, CIBC World Markets Corp. 
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June 07, 2019:   File No. USRI-8679 | Star No. 20160502034, Christopher S. Lee 
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June 07, 2019:   File No. USRI-8708 | Star No. 20160513267, BNP Paribas Securities Corp. 
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