Disciplinary Information

  • Year: 

     

March 15, 2018:   18-0005/ 20150464143 SG Americas Securities, LLC 
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March 15, 2018:   18-0004/ 20150451875 Lek Securities Corporation 
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March 15, 2018:   17-0065/ 20150443321 Travis Potter and Thomas Eason 
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March 15, 2018:   17-0059/ 20150453500 UBS Securities LLC 
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February 13, 2018:   18-0002/ 20150443242 Deutsche Bank Securities, Inc. 
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February 05, 2018:   18-0003/ 20170543459 Synergy Capital Management, LLC 
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February 05, 2018:   18-0001/ 20160499339 Instinet, LLC 
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December 29, 2017:   17-0062/ 20160507310 Lamberson Capital, LLC 
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December 29, 2017:   17-0056/ 20150455863 Nomura Securities International, Inc. 
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December 29, 2017:   17-0001/ 20150467058 and 20170528151 IMC Financial Markets 
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