The NASDAQ Options Market Disciplinary Actions
2018
Enforcement No. |
Title |
Date |
No. 20140411279-07 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20140411279-07, Merrill Lynch, Pierce, Fenner & Smith Inc. |
9/26/2018 |
No. 20160493435-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20160493435-01, RBC Capital Markets, LLC |
5/9/2018 |
No. 20140414439-07 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20140414439-07, Wolverine Trading, LLC |
5/2/2018 |
No. 20130368360-04 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20130368360-04, Instinet, LLC |
4/11/2018 |
2017
Enforcement No. |
Title |
Date |
No. 20120348296-07 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20120348296-07, J.P. Morgan Securities LLC |
6/28/2017 |
No. 20140419133-02 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20140419133-02, Susquehanna Securities |
6/27/2017 |
2016
Enforcement No. |
Title |
Date |
No. 20140418701-05 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20140418701-05, Citi Order Routing and Execution, LLC |
12/21/2016 |
No. 20130362578-04 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20130362578-04, Lime Brokerage LLC |
12/20/2016 |
No. 20130374348-04 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20130374348-04, J.P. Morgan Securities LLC |
08/22/2016 |
2015
Enforcement No. |
Title |
Date |
No. 20110292793-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20110292793-01, Credit Suisse Securities (USA) LLC |
10/15/2015 |
No. 20120334122-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20120334122-01, Virtu Financial BD LLC |
10/09/2015 |
No. 20110301661-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20110301661-01, UBS Securities LLC |
07/13/2015 |
No. 20110277299-04 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20110277299-04, Merrill Lynch, Pierce, Fenner & Smith Inc. |
06/23/2015 |
No. 20130366433-03 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20130366433-03, Merrill Lynch Professional Clearing Corp. |
06/25/2015 |
No. 20100236861-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20100236861-01, optionsXpress, Inc. |
03/20/2015 |
2014
Enforcement No. |
Title |
Date |
No. 20110261143-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20110261143-01, Cantor FItzgerald & Co. |
09/12/2014 |
No. 20110275391-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20110275391-01, Cantor FItzgerald & Co. |
03/14/2014 |
2013
Enforcement No. |
Title |
Date |
No. 20110275386-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20110275386-01, Barclays Capital Inc. |
10/22/2013 |
No. 20110259552-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20110259552-01, UBS Securities LLC |
01/15/2013 |
2012
Enforcement No. |
Title |
Date |
No. 20100233513-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20100233513-01, Hold Brothers Online Investment Services, LLC |
09/24/2012 |
No. 20100217585-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20100217585-01, Morgan Stanley & Co. LLC |
07/12/2012 |
2011
Enforcement No. |
Title |
Date |
No. 20090180679-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20090180679-01, Thinkorswim, Inc. |
05/27/2011 |
No. 20080144546-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20080144546-01, Newedge USA, LLC |
03/18/2011 |
2010
Enforcement No. |
Title |
Date |
No. 20080144510-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20080144510-01, Merrill Lynch, Pierce, Fenner & Smith, Inc. |
11/12/2010 |
No. 20080144520-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20080144520-01, National Financial Services, LLC |
11/12/2010 |
No. 20080153938-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20080153938-01, SG Americas Securities, LLC |
11/12/2010 |
No. 20080137271-01 |
Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20080137271-01, JP Morgan Securities, Inc. |
03/24/2010 |