Bats EDGX Disciplinary Actions

2017

Enforcement No. Title Date
No. 20150468543-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150468543-04, Blue Fire Capital, LLC 04/17/2017
No. 20110297130-13 Statement of Charges No. 20110297130-13, Lek Securities Corporation and Samuel Frederik Lek 03/27/2017
No. 20130354682-07 Statement of Charges No. 20130354682-07, Lightspeed Trading, LLC 03/09/2017
No. 20150444790-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150444790-05, Xambala Capital, LLC 02/24/2017

2016

Enforcement No. Title Date
No.: 20140430992-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430992-02, KCG Americas LLC 12/19/2016
No.: 20140430988-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No.20140430988-04, BNP Paribas Securities Corp. 11/30/2016
No.: 20140430990-07 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430990-07, Jump Trading, LLC 11/30/2016
No.: 20100215956-07 Statement of Charges No. 20100215956-07, Lek Securities Corporation 11/22/2016
No.: 20140406468-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140406468-04, Wolverine Execution Services, LLC 11/17/2016
No.: 20160490438-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160490438-04, Citigroup Global Markets Inc. 11/04/2016
No.: 20120344693-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120344693-04, Merrill Lynch, Pierce, Fenner & Smith Incorporated 10/25/2016
No.: 20140397939-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140397939-01, Ronin Capital, LLC 09/01/2016
No.: 20130367785-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130367785-05, Nomura Securities International, Inc. 08/08/2016
No.: 20140397934-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140397934-01, Xambala Capital, LLC 01/07/2016

2015

Enforcement No. Title Date
No.: 20120323306-08 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120323306-08, UBS Securities LLC 12/31/2015