Bats BZX Disciplinary Actions

2017

Enforcement No. Title Date
No.: 20140407387-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140407387-02, Bluefin Trading, LLC 01/09/2017

2016

Enforcement No. Title Date
No.: 20140423721-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140423721-01, Pershing LLC 12/08/2016
No.: 20140430990-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430990-05, Jump Trading, LLC 11/30/2016
No.: 20100215956-04 Statement of Charges No. 20100215956-04, Lek Securities Corporation 11/22/2016
No.: 20140406468-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140406468-02, Wolverine Execution Services, LLC 11/17/2016
No.: 20140420828-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140420828-01, Nomura Securities International, Inc. 11/04/2016
No.: 20120344693-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120344693-02, Merrill Lynch, Pierce, Fenner & Smith Incorporated 10/25/2016
No.: 20140411749 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140411749, Bloomberg Tradebook LLC 10/14/2016
No.: 20140418652-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140418652-01, optionsXress, Inc. 09/22/2016
No.: 20140413176-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140413176-01, Lime Brokerage LLC 09/14/2016
No.: 20140402395-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140402395-02, Susquehanna Capital Group 09/09/2016
No.: 20130367785-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130367785-03, Nomura Securities International, Inc. 08/08/2016
No.: 20150466966-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150466966-01, Essex Radez LLC 07/27/2016
No.: 20140420532-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140420532-01, Walleye Trading LLC 06/29/2016
No.: 20130379324 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130379324, Marcus C. Rodriguez 03/14/2016
No.: 20100254756-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100254756-04, Electronic Transaction Clearing, Inc. 02/25/2016
No.: 20150472225-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150472225-01, Eric C. Blake 01/12/2016
No.: 20140397934-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140397934-02, Xambala Capital, LLC 01/07/2016

2015

Enforcement No. Title Date
No.: 20110263118-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110263118-04, Wedbush Securities Inc. 12/31/2015
No.: 20120323306-09 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120323306-09, UBS Securities LLC 12/31/2015
No. 20110259764-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110259764-01, Barclays Capital Inc. 10/15/2015
No. 20100249132-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100249132-01, Wedbush Securities, Inc. 09/18/2015
No. 20090211062-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090211062-02, KCG Americas, LLC 07/09/2015
No. 20110277299 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110277299, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp. 07/09/2015
No.: 20120310864-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310864-05, 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.: 20140409237 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140409237, Finance 500, Inc. 01/21/2015
No.: 14-0002 Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. BZX-14-0002, Agency Trading Group, Inc. 01/20/2015
No.: 20140409265 & 20140406416 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140409265 & 20140406416, OTR Global Trading, LLC 01/15/2015
No.: 20100231838 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100231838, Lime Brokerage LLC 01/15/2015
No: 20140409252 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140409252, Pinnacle Capital Markets, LLC 01/07/2015

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.: BZX 14-0001 Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. BZX-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.: 2014040639501 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014040639501, MYD Market, Inc. 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. 20140419009 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140419009, Dominick & Dominick LLC 12/02/2014
No. 20140409253 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140409253, Quantex Clearing LLC 11/28/2014
No. 20140418996 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140418996, Essex Radez LLC 11/28/2014
No. 14-0003 Notice of Acceptance of Letter of Consent No. BZX 14-0003, 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
No. 20100227065 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100227065, Citigroup Global Markets Inc. 04/10/2014
No. 20110261650 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261650, Tradition Asiel Securities Inc. 03/14/2014

2013

Enforcement No. Title Date
No. 20100233908 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100233908, IMC Financial Markets 12/17/2013
No. 20100216065 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100216065, Group One Trading, LP 09/06/2013
No. 20110260788 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110260788, Newedge USA, LLC 07/31/2013
No. 20100257723 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100257723, The Vertical Trading Group, LLC 07/26/2013
No. 20100219348 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100219348, Credit Suisse Securities (USA), LLC 05/14/2013
No. 20100214899 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100214899, IMC-Chicago, LLC (dba IMC Financial Markets) 04/23/2013
No. 20090170026 & 20100216049 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090170026 & 20100216049, Wedbush Securities, Inc. 04/02/2013
No. 20100215963 Notice of Acceptance, Waiver and Consent No. 20100215963, Morgan Stanley & Co., LLC 01/02/2013

2012

Enforcement No. Title Date
No. 20100243992 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100243992, Hold Brothers Online Investment Services, LLC 10/22/2012
No. 2010022913903 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2010022913903, Title Securities, Inc. 10/17/2012
No. 20100826 Notice of Acceptance of Letter of Acceptance, Waiver & Consent No. 20100826, Goldman, Sachs and Co. 09/21/2012
No. 20100222215-01 Notice of Acceptance of Letter of Acceptance, Waiver & Consent No. 20100222215-01, Biremis Corp. and Peter Beck 07/30/2012
No. 20110709 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110709, Wedbush Securities Inc. 06/20/2012
No. 20100001 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100001, Interactive Brokers LLC. 06/20/2012
No. 20090210825-03 Disciplinary Proceeding No. 20090210825-03, Genesis Securities, LLC and William C. Yeh 05/14/2012