Cboe Global Markets

Cboe Equities Exchanges Disciplinary Actions

File No. USRI-8346-05
November 24, 2021
Letter of Consent No. USRI-8346-05, J.P. Morgan Securities LLC
File No. USRI-7853-05 | Star No. 20180583642-01
November 23, 2021
Letter of Consent No. 20180583642-01, Deutsche Bank Securities Inc.
File No. USRI-8630-05
November 23, 2021
Letter of Consent No. USRI-8630-05, Lightspeed Financial Services Group LLC (f/k/a Lime Brokerage LLC)
File No. USRI-7757-05
November 8, 2021
Letter of Consent No. USRI-7757-05, UBS Securities LLC
File No. USRI-8156-03 | Star No. 20180598392
October 15, 2021
Letter of Consent No. 20180598392, Instinet, LLC
File No. USRI-8151-03 | Star No. 20190630126
October 13, 2021
Letter of Consent No. 20190630126, Credit Suisse Securities (USA) LLC
File No. USRI-8969-05
July 29, 2021
Letter of Consent No. USRI-8969-05, Virtu Americas, LLC
File No. USRI-7261-05 | Star No. 20150440782-07
July 28, 2021
Letter of Consent No. 20150440782-07, CODA Markets, Inc. (f/k/a PDQ ATS, Inc.)
File No. USRI-8755-05
July 15, 2021
Letter of Consent No. USRI-8755-05, Latour Trading LLC
File No. USE-2188-03 | Star No. 20190610582-03
July 12, 2021
Letter of Consent No. 20190610582-03, CTC LLC
File No. USE-1907-05 | Star No. 20180571661-01
May 10, 2021
Letter of Consent No. 20180571661-01, Wolverine Execution Services, LLC
File Nos. USRI-9064-03 and USRI-8152-03
May 4, 2021
Letter of Consent No. 20180610167, Global Execution Brokers, LP
File No. USRI-9680-03
May 4, 2021
Letter of Consent File No. USRI-9680-03, Susquehanna Securities, LLC
File No. USRI-3401-05 | Star No. 20170555959
April 27, 2021
Letter of Consent No. 20170555959, National Financial Services, LLC
File No. USRI-8018-05 | Star No. 20180577360
April 20, 2021
Letter of Consent No. 20180577360, HSBC Securities (USA) Inc.
File No. USRI-7375-05 | Star No. 20170565048-02
March 30, 2021
Letter of Consent No. 20170565048-02, RBC Capital Markets, LLC
File No. USRI-8986-03 | Star No. 20190629791
January 27, 2021
Letter of Consent No. 20190629791, Susquehanna Securities, LLC
File No. USRI-6745-05 | Star No. 20160515492-01
January 4, 2021
Letter of Consent No. 20160515492-01, GTS Securities LLC