Disciplinary Information

  • Year: 

     

November 02, 2017:   17-0054/ 20150464140 Nomura Securities International, Inc. 
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November 02, 2017:   17-0051/ 20170541428 Bluefin Trading, LLC 
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November 02, 2017:   17-0027/20150459874 and 20150453575 Lakeshore Securities, L.P. 
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October 05, 2017:   17-0049/ 20150451860 Oppenheimer & Co. Inc. 
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October 05, 2017:   17-0006 and 14-0198/ 20150439284 20150465669 and 20170528148 PTR, Inc. 
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September 13, 2017:   17-0048/ 20150451921 UBS Securities LLC 
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September 13, 2017:   17-0045/ 20150443152 Timber Hill LLC 
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September 13, 2017:   17-0018/ 20150467036 Brian Ludden LLC 
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September 13, 2017:   17-0009/ 20150439273 20150467056 and 20170528113 Hybrid Trading & Resources, LLC 
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September 13, 2017:   16-0014/ 20150459875 Israel A. Englander & Co., LLC 
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