ISE Disciplinary Actions

2019

Enforcement No. Title Date
No. 2012033667302 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2012033667302,
Lek Securities Corporation
12/17/2019
No. 2017053132902 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2017053132902,
Tullett Prebon Financial Services LLC
11/14/2019
No. 2017053128903 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2017053128903,
CIBC World Markets Corp.
10/28/2019
No. 2016051745701 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2016051745701,
Citigroup Derivatives Markets Inc.
1/25/2019
No. 2015045758301 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2015045758301,
Lek Securities Corporation
1/24/2019