Cboe EDGX Equities Disciplinary Actions
2015
| Enforcement No. | Title | Date |
|---|---|---|
| No.: 20120310864-08 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310864-08, Stock USA Execution Services, Inc. | 05/08/2015 |
2014
| Enforcement No. | Title | Date |
|---|---|---|
| 20120316581 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120316581, IMC Financial Markets, (CRD No. 104143) | 08/12/2014 |
| 20110280330 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110280330, Electronic Transaction Clearing, Inc. (CRD No. 146122) | 03/28/2014 |
2012
| Enforcement No. | Title | Date |
|---|---|---|
| 2009021082504 | EDGX Exchange, Inc. Disciplinary Proceeding against Genesis Securities, LLC (CRD No. 46992) and William C. Yeh (CRD No. 2688332) | 05/14/2012 |