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 |
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