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Disciplinary Actions


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April 03, 2014:   14-0013 IMC-Chicago, LLC 
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April 03, 2014:   13-0069 National Financial Services LLC 
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April 03, 2014:   13-0065 PTR, Inc. 
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April 03, 2014:   13-0059 TMT Investments, LLC 
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April 03, 2014:   13-0058 Alexandria Capital Partners, L.P. 
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April 03, 2014:   13-0046, 13-0047 and 13-0071 Legend Trading, LLC 
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March 28, 2014:   13-0064 Quantlab Securities LP 
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March 28, 2014:   13-0057 Ronin Capital, LLC and J. Brian Schaer 
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February 27, 2014:   13-0066 Instinet, LLC 
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February 27, 2014:   13-0063, 14-0003 and 14-0004 DRO-WST Trading, LLC 
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CBOE Volatility Index (VIX)