Disciplinary Information

  • Year: 

     

December 29, 2017:   17-0062/ 20160507310 Lamberson Capital, LLC 
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December 29, 2017:   17-0060/ 20150464137 Merrill Lynch Professional Clearing Corp. 
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December 29, 2017:   17-0056/ 20150455863 Nomura Securities International, Inc. 
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December 29, 2017:   17-0053/ 20150464122 Barclays Capital Inc. 
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December 29, 2017:   17-0011/ 20150467066 and 20170528124 Jump Trading, LLC 
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December 29, 2017:   17-0001/ 20150467058 and 20170528151 IMC Financial Markets 
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December 29, 2017:   14-0201 and 17-0036 /20150439293, 20150467254, and 20170528136 Timber Hill LLC 
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December 29, 2017:   14-0199 and 17-0037/ 20150439286, 20150467045, and 20170528152 Citadel Securities LLC 
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December 29, 2017:   14-0196 and 17-0008/ 20150439281, 20150465671 and 20170528135 MNR Executions, LLC 
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December 29, 2017:   14-0191 and 17-0007/ 20150439269, 20150465673 and 20170528115 Trinity Executions, LLC 
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