Disciplinary Information

  • Year: 

     

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:   19-0005/ 20170523844 Sumo Capital, LLC 
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January 31, 2019:   19-0004/ 20160517457 Citigroup Derivatives Markets Inc. 
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January 31, 2019:   19-0001/ 20150475058-04 Susquehanna Securities 
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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:   17-0055/ 20150451886-01 Susquehanna Investment Group 
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January 31, 2019:   15-0019 and 17-0004/ 20150444988 and 20150467037 Cardinal Capital Management LLC 
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