Cboe Options Exchanges Disciplinary Actions

File No. URE-131-01; Sumo Capital, LLC
December 29, 2022
Letter of Consent; Cboe Rules 5.52 - Market-Maker Quotes and 8.16 - Supervision
File No. URE-7-01; Citigroup Global Markets Inc.
November 17, 2022
Letter of Consent; Section 17(a) of the Exchange Act and Exchange Act Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers; Cboe Rules 6.1 - Report Transactions to the Exchange, 7.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information, 8.2 - Adherence to Law, 8.14 - Communications to the Exchange or the Clearing Corporation, and 8.16 - Supervision
File No. URE-75-01; Lakeshore Securities, L.P.
October 19, 2022
Letter of Consent; Cboe Rules 6.1 - Report Transactions to the Exchange and 8.16 - Supervision
File No. USRI-8790-01/URE-30-01; Star No. 20190611843-05; Dash Financial Technologies LLC
October 4, 2022
Letter of Consent; Cboe Rules 6.51 - Reporting Duties, 15.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information, 4.2 - Adherence to Law, 4.22 - Communications to the Exchange or the Clearing Corporation, and 4.24 - Supervision; Section 17(a) of the Securities Exchange Act of 1934 and Rule 17a-3 - Records to be Made by Certain Exchange Members, Brokers and Dealers, thereunder
File No. URE-77-01; TJM Investments, LLC
October 3, 2022
Letter of Consent; Cboe Rules 6.1 - Report Transactions to the Exchange and 8.16 - Supervision
File No. URE-76-01; Wolverine Execution Services, LLC
September 27, 2022
Letter of Consent; Cboe Rules 6.1 - Report Transactions to the Exchange and 8.16 - Supervision
File No. USE-2333-01/URE-35-01; Star No. 20200651149-01; Belvedere Trading LLC
September 9, 2022
Letter of Consent; Cboe Rules 3.6A and 3.30 - Qualification and Registration of Trading Permit Holders and Associated Persons
File No. USE-2277-01/URE-41-01; Star No. 201690610657-12; Jefferies LLC
September 7, 2022
Letter of Consent; Cboe Rules 15.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information, 4.2 - Adherence to Law and 4.24 - Supervision; Section 17(a) of the Exchange Act and Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers
File No. USRI-9732-01/URE-29-01; Star No. 20190619455; Akuna Securities LLC and Thomas G. Seewald
August 29, 2022
Letter of Consent; Cboe Rules 4.1 - Just and Equitable Principles of Trade, 4.24 - Supervision, and 6.9 - Solicited Transactions
File No. USRI-8726-01/URE-20-01; Star No. 20180580170-10; Global Execution Brokers, LP
August 16, 2022
Letter of Consent; Exchange Act Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access; Cboe Rule 4.24 - Supervision and Cboe Rule 4.2 - Adherence to Law
File No. USRI-9504-01/URE-27-01; Star No. 20190639291-01; RBC Capital Markets, LLC
June 7, 2022
Letter of Consent; Cboe Rules 4.1 and 8.1 - Just and Equitable Principles of Trade and Cboe Rules 6.9 - Solicited Transactions and 5.86 - Facilitated and Solicited Transactions
File No. USRI-9504-01/URE-27-01; Star No. 20190639291-02; Justin Adam Egan
June 7, 2022
Letter of Consent; Cboe Rules 4.1 and 8.1 - Just and Equitable Principles of Trade and Cboe Rules 6.9 - Solicited Transactions and 5.86 - Facilitated and Solicited Transactions
File No. USE-2362-01/URE-36-01; Star No. 20200652457; Cognitive Capital, LLC
May 18, 2022
Letter of Consent; Section 15(c) promulgated under the Exchange Act and Rule 15c3-1 - Net Capital Requirements for Brokers or Dealers thereunder; and Cboe Rules 8.2 - Adherence to Law and 11.1 - Minimum Requirements
File No. USRI-9345-01/URE-3-01
May 3, 2022
Letter of Consent No. USRI-9345-01/URE-3-01, Matrix Executions, LLC
File No. USE-2251-01/URE-39-01
April 14, 2022
Letter of Consent No. USE-2251-01/URE-39-01, Goldman Sachs & Co. LLC
File No. USE-2308-01 | Star No. 20200664158
March 25, 2022
Letter of Consent No. 20200664158, Ronin Capital, LLC
File No. USRI-9289-01
February 10, 2022
Letter of Consent No. USRI-9289-01, Lakeshore Securities, L.P.