Bats EDGA Disciplinary Actions

2017

Enforcement No. Title Date
No. 20130376517-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130376517-03, Instinet, LLC 07/21/2017
No. 20120347730-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120347730-04, Interactive Brokers LLC 06/21/2017
No. 20140411317-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140411317-04, Old Mission Capital, LLC 06/01/2017
No. 20130391658-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130391658-02, Two Sigma Securities, LLC 05/04/2017
No. 20130365748-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130365748-02, Barclays Capital Inc. 05/03/2017
No. 20150468543-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150468543-03, Blue Fire Capital, LLC 04/17/2017
No. 20110297130-12 Statement of Charges No. 20110297130-12, Lek Securities Corporation and Samuel Frederik Lek 03/27/2017
No. 20130354682-06 Statement of Charges No. 20130354682-06, Lightspeed Trading, LLC 03/09/2017
No. 20150444790-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150444790-04, Xambala Capital, LLC 02/24/2017

2016

Enforcement No. Title Date
No.: 20140430990-06 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430990-06, Jump Trading, LLC 11/30/2016
No.: 20140430988-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No.20140430988-03, BNP Paribas Securities Corp. 11/30/2016
No.: 20100215956-06 Statement of Charges No. 20100215956-06, Lek Securities Corporation 11/22/2016
No.: 20140406468-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140406468-03, Wolverine Execution Services, LLC 11/17/2016
No.: 20160490438-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160490438-03, Citigroup Global Markets Inc. 11/04/2016
No.: 20140402395-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140402395-02, Susquehanna Capital Group 09/09/2016
No.: 20130367785-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130367785-04, Nomura Securities International, Inc. 08/08/2016

2015

Enforcement No. Title Date
No. 20130358242-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130358242-03, National Financial Services LLC 09/18/2015
No.: 20120310864-07 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310864-07, Stock USA Execution Services, Inc. 05/08/2015
No.: 20100238966 Notice of Acceptance, Waiver, and Consent No. 20100238966, Instinet, LLC 01/05/2015

2014

Enforcement No. Title Date
20120309897 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120309897, Legend Securities, Inc. (CRD No. 44952) 10/13/2014
20110261076 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261076, Wedbush Securities Inc. (CRD No. 877) 10/13/2014

2013

Enforcement No. Title Date
20110261576 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261576, Electronic Transaction Clearing, Inc. (CRD No. 146122) 12/18/2013
20120309813 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120309813, ABN AMRO Clearing Chicago LLC (CRD No. 14020) 09/09/2013