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Cboe Global Markets

Cboe Options Exchanges Disciplinary Actions

File No. USRI-8703 | Star No. 20180579081, Citadel Securities, LLC
August 28, 2019
File No. USE-2296 | Star No. 20170544364, Sumo Capital, LLC
August 1, 2019
File No. USE-1693 | Star No. 20160487695, Jefferies LLC
July 17, 2019
File No. USRI-8679 | Star No. 20160502034, Christopher S. Lee
June 7, 2019
File No. USE-1731 | Star No. 20160487717, SG Americas Securities, LLC
June 7, 2019
File No. USRI-8696 | Star No. 20170560699, Newedge USA, LLC n/k/a SG Americas Securites, LLC
June 7, 2019
File No. USRI-8679 | Star No. 20160502034, CIBC World Markets Corp.
June 7, 2019
File No. USRI-8707 | Star Nos. 20160491749 and 20170523838, Simplex Trading, LLC
June 7, 2019
File No. USRI-8680 | Star No. 20160511651, Morgan Stanley & Co. LLC
June 7, 2019
File No. USRI-8708 | Star No. 20160513267, BNP Paribas Securities Corp.
June 7, 2019
File No. USRI-8697 | Star No. 20170566526, Marathon Trading Group, LLC
June 7, 2019
File No. 18-0017 | Star No. 20170546001, Sumo Capital, LLC
May 29, 2019
File No. 15-0065 | Star No. 20150456213, Equitec Proprietary Markets, LLC Hearing Decision
April 23, 2019
File No. 14-0177 | Star No. 20140438963, ABN AMRO Clearing Chicago LLC
April 4, 2019
14-0200 and 17-0034/ 20150467862 and 20150439292 DRW Securities, L.L.C.
April 3, 2019
File No. 19-0002 Akuna Securities LLC
February 1, 2019
19-0007/ 20150457583 Lek Securities Corporation
January 31, 2019
15-0019 and 17-0004/ 20150444988 and 20150467037 Cardinal Capital Management LLC
January 31, 2019
19-0006/ 20160485982 UBS Securities LLC
January 31, 2019
18-0007/ 20160486165 MNR Executions, LLC, Ronald Myers and Andrew Clouthier
January 31, 2019
17-0055/ 20150451886-02 Susquehanna Securities
January 31, 2019
19-0004/ 20160517457 Citigroup Derivatives Markets Inc.
January 31, 2019
19-0005/ 20170523844 Sumo Capital, LLC
January 31, 2019
17-0055/ 20150451886-01 Susquehanna Investment Group
January 31, 2019
19-0001/ 20150475058-04 Susquehanna Securities
January 31, 2019
19-0003/ 20170550796 Lakeshore Securities, L.P., Joseph Williams, Salvatore LoBianco and Mark Burzxcki
January 31, 2019