Cboe EDGA Disciplinary Actions

2015

Enforcement No. Title Date
No. 20130358242-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130358242-03, National Financial Services LLC 09/18/2015
No.: 20120310864-07 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310864-07, Stock USA Execution Services, Inc. 05/08/2015
No.: 20100238966 Notice of Acceptance, Waiver, and Consent No. 20100238966, Instinet, LLC 01/05/2015

2014

Enforcement No. Title Date
20120309897 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120309897, Legend Securities, Inc. (CRD No. 44952) 10/13/2014
20110261076 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261076, Wedbush Securities Inc. (CRD No. 877) 10/13/2014

2013

Enforcement No. Title Date
20110261576 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261576, Electronic Transaction Clearing, Inc. (CRD No. 146122) 12/18/2013
20120309813 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120309813, ABN AMRO Clearing Chicago LLC (CRD No. 14020) 09/09/2013