Disciplinary Information

  • Year: 

     

June 07, 2019:   File No. USRI-8707 | Star Nos. 20160491749 and 20170523838, Simplex Trading, 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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May 29, 2019:   File No. 18-0017 | Star No. 20170546001, Sumo Capital, LLC 
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April 23, 2019:   File No. 15-0065 | Star No. 20150456213, Equitec Proprietary Markets, LLC Hearing Decision 
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