Disciplinary Information

  • 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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