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Cboe Global Markets

Cboe Equities Exchanges Disciplinary Actions

No. 20110259764-01
October 15, 2015
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110259764-01, Barclays Capital Inc.
No. 20100249132-01
September 18, 2015
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100249132-01, Wedbush Securities, Inc.
No. 20110277299
July 9, 2015
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110277299, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp.
No. 20090211062-02
July 9, 2015
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090211062-02, KCG Americas, LLC
No.: 20120310864-05
May 8, 2015
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310864-05, Stock USA Execution Services, Inc.
No.: 20140412839
January 28, 2015
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140412839, Kershner Securities, LLC
No.: 20140409237
January 21, 2015
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140409237, Finance 500, Inc.
No.: 14-0002
January 20, 2015
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. BZX-14-0002, Agency Trading Group, Inc.
No.: 20140409265 & 20140406416
January 15, 2015
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140409265 & 20140406416, OTR Global Trading, LLC
No.: 20100231838
January 15, 2015
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100231838, Lime Brokerage LLC
No: 20140409252
January 7, 2015
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140409252, Pinnacle Capital Markets, LLC