Cboe Global Markets

Cboe Equities Exchanges Disciplinary Actions

File No. USE-2250-07 | Star No. 20190610610-02
August 26, 2021
Letter of Consent No. 20190610610-02, SogoTrade, Inc
File No. USRI-8114-07
July 29, 2021
Letter of Consent No. USRI-8114-07, TD Ameritrade Clearing, Inc
File No. USRI-8969-07
July 29, 2021
Letter of Consent No. USRI-8969-07, Virtu Americas, LLC
File No. USRI-7261-07 | Star No. 20150440782-09
July 28, 2021
Letter of Consent No. 20150440782-09, CODA Markets, Inc. (f/k/a PDQ ATS, Inc.)
File No. USE-1907-07 | Star No. 20180571661-07
May 10, 2021
Letter of Consent No. 20180571661-07, Wolverine Execution Services, LLC
File No. USRI-8929-04
May 4, 2021
Letter of Consent File No. USRI-8929-04, Dash Financial Technologies, INC.
File Nos. USRI-9064-04 and USRI-8152-04
May 4, 2021
Letter of Consent No. 20180610167, Global Execution Brokers, LP
File No. USRI-3401-07 | Star No. 20170555959
April 27, 2021
Letter of Consent No. 20170555959, National Financial Services, LLC
File No. USRI-8018-07 | Star No. 20180577360
April 20, 2021
Letter of Consent No. 20180577360, HSBC Securities (USA) Inc.
USRI-7659-07 | Star No. 20130386840-04
March 30, 2021
Letter of Consent No. 20130386840-04, Merrill Lynch, Pierce, Fenner & Smith Incorporated
File No. USRI-7375-07 | Star No. 20170565048-04
March 30, 2021
Letter of Consent No. 20170565048-04, RBC Capital Markets, LLC
File No. USRI-8986-04 | Star No. 20190629791
January 27, 2021
Letter of Consent No. 20190629791, Susquehanna Securities, LLC
File No. USRI-6745-07 | Star No. 20160515492-04
January 4, 2021
Letter of Consent No. 20160515492-04, GTS Securities LLC