Disciplinary Actions

2020

Enforcement No. Title Date
No. 2015049918101 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015049918101
Charles Schwab & Co., Inc.
5/27/2020
No. 2017054051802 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017054051802
Seaport Global Securities LLC
5/13/2020
No. 2019.04.0040 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.04.0040
Network I Financial Securities Inc.
4/8/2020
No. 2015045163501 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045163501
Cantor Fitzgerald & Co.
3/16/2020
No. 2017056210702 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017056210702
ITG Inc. n/k/a Virtu ITG, LLC
2/03/2020
No. 2019.06.0053 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.06.0053
Fordham Financial Management, Inc.
1/16/2020