Bats BYX Disciplinary Actions

2016

Enforcement No. Title Date
No.: 20140430990-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430990-04, Jump Trading, LLC 11/30/2016
No.: 20100215956-05 Statement of Charges No. 20100215956-05, Lek Securities Corporation 11/22/2016
No.: 20140406468-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140406468-01, Wolverine Execution Services, LLC 11/17/2016
No. 20120344693-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120344693-03, Merrill Lynch, Pierce, Fenner & Smith Incorporated 10/25/2016
No.: 20150466966-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150466966-02, Essex Radez LLC 07/27/2016
No.: 20140397934-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140397934-03, Xambala Capital, LLC 01/07/2016

2015

Enforcement No. Title Date
No.: 20120323306-10 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120323306-10, UBS Securities LLC 12/31/2015
No.: 20120310864-06 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310864-06, Stock USA Execution Services, Inc. 05/08/2015
No.: 20140412839 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140412839, Kershner Securities, LLC 01/28/2015
No.: 20100231838 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100231838, Lime Brokerage LLC 01/15/2015

2014

Enforcement No. Title Date
No.: 20140412838 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140412838, Liquidnet, Inc. 12/22/2014
No.: BYX 14-0001 Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. BYX-14-0001, Quantlab Securities LP 12/22/2014
No.: 20140409294 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140409294, J.V.B. Financial Group, LLC 12/15/2014
No.: 20140412825 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140412825, Global Execution Brokers, LP 12/02/2014
No. 20140409253 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140409253, Quantex Clearing LLC 11/28/2014
No. 14-0002 Notice of Acceptance of Letter of Consent No. BYX 14-0002, Sun Trading LLC. 10/07/2014
No.: 20100223345 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100223345, Citadel Securities LLC 07/09/2014

2013

Enforcement No. Title Date
No. 20100214899 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100214899, IMC-Chicago, LLC (dba IMC Financial Markets) 04/23/2013