Cboe Futures Exchange Disciplinary Actions

2020

Enforcement No. Title Date
CFE-DD-2020-0006-Danske Bank CFE 19-0006 USFI 554/499 Danske Bank A/S 01/16/2020
CFE-DD-2020-0006-Merrill Lynch International CFE 19-0006 USFI 554/499 Merrill Lynch International 01/16/2020
CFE-DD-2020-0007--Deutsche Bank Securities Inc CFE 19-0007 USFI 595/498 Deutsche Bank Securities Inc. 01/16/2020

2019

Enforcement No. Title Date
CFE-DD-2019-0003-8018-USFI USFI Frank Cerisano CFE 18-0003 USFI 80/18 Frank Cerisano 09/17/2019
CFE-DD-2019-0004-CSC Decision CFE 19-0004 USFI 387/269 CSC Futures (HK) Limited 08/26/2019
CFE-DD-2019-0002-Consolidated Decision CFE 19-0002 Consolidated Trading LLC 05/22/2019
CFE-DD-2019-0003-Ronin Decision CFE 19-0003 Ronin Trading LLC 04/03/2019
CFE-DD-2019-0001-Straits Decision CFE 19-0001 Straits Financial LLC 04/03/2019
CFE-DD-2019-0005-Perasovic Decision CFE 18-0005 Vicko Perasovic 04/03/2019
CFE-DD-2019-0006-Credit Suisse Securities USA LLC and Credit Suisse International CFE 18-0006 Credit Suisse Securities (USA) LLC, and Credit Suisse International 02/01/2019
CFE-DD-2019-0007-UBS Decision CFE 18-0007 UBS Securities LLC 02/01/2019
CFE-DD-620-Decision CFE 18-0004 Akuna Securities LLC 02/01/2019

2018

Enforcement No. Title Date
CFE-DD-2018-00021-RBC Decision CFE 18-0002 RBC Capital Markets, LLC. 06/22/2018
CFE-DD-2018-00062-Lambert Signed Decision CFE 17-0006 David Lambert and DBF GP LLC 04/16/2018
CFE-DD-2018-0001-CCG Decision CFE 18-0001 Clear Capital Group LLC 01/24/2018
CFE-DD-2018-0010-6201-DRW Decision CFE 17-0010 DRW Securities LLC 01/02/2018

2017

Enforcement No. Title Date
CFE-DD-17-0009-1-ABN AMRO CFE 17-0009 ABN AMRO Clearing Chicago LLC 12/14/2017
CFE-DD-2017-0007 CFE 17-0007 HSBC Trinkaus & Burkhardt AG 10/24/2017
CFE-DD-2017-0005 CFE17-0005 Deutsche Bank Securities Inc. 08/23/2017
CFE-DD-2017-0004 CFE 17-0004 Hauck & Aufhauser Privatbankiers KGaA 03/30/2017
CFE-DD-2017-0001 CFE 17-0001 Pacific Liberty SPC 02/28/2017
CFE-DD-2017-0002 CFE 17-0002 Quanta Finance SA 02/28/2017
CFE-DD-2017-0003 CFE 17-0003 Deutsche Bank Securities Inc. 02/28/2017

2016

Enforcement No. Title Date
CFE-DD-2016-0003 CFE 16-0003 Locust Walk Trading LLC 11/30/2016
CFE-DD-2016-0005 CFE 16-0005 Virtu Financial BD LLC 11/30/2016
CFE-DD-2016-0006 CFE 16-0006 Sumo Capital LLC 11/30/2016
CFE-DD-109060-UBS 109060 UBS Securities LLC 09/16/2016
CFE-DD-2016-0003-a CFE 15-0003 Morgan Stanley & Co. LLC and Ari D. Litan 06/28/2016
CFE-DD-2016-0002 CFE 16-0002 Frank Cerisano 06/28/2016
CFE-DD-2016-0018 CFE 15-0018 Clover Light LLC 05/25/2016
CFE-DD-2016-0023 CFE 15-0023 JP Morgan Securities ,LLC 05/25/2016
CFE-DD-2016-0001 CFE 16-0001 HTG Capital Partners LLC 03/30/2016

2015

Enforcement No. Title Date
CFE-DD-2015-0017 CFE 15-0017 Sun Trading LLC 12/14/2015
CFE-DD-2015-0019 CFE 15-0019 Barclays Capital Inc. 12/14/2015
CFE-DD-2015-0014 CFE 15-0014 Susquehanna Investment Group 11/17/2015
CFE-DD-2015-0016 CFE 15-0016 ABN AMRO Clearing Bank NV 11/17/2015
CFE-DD-2015-0005 CFE 15-0005 Banque DeGroof Petercam SA and Banque DeGroof Luxembourg SA 10/21/2015
CFE-DD-2015-0010 CFE 15-0010 Caceis Bank France 10/21/2015
CFE-DD-2015-0011 CFE 15-0011 Credit Suisse AG 09/30/2015
CFE-DD-2015-0007 CFE 15-0007 RBS Securities Inc. and RBS PLC 09/30/2015
CFE-DD-2015-0008 CFE 15-0008 Daishin Securities Co LTD 09/30/2015
CFE-DD-2015-0009 CFE 15-0009 GF Futures (Hong Kong) Co. Ltd. 09/30/2015
CFE-DD-2015-0015 CFE 15-0015 Banque Lombard Odier & Cie Sa 09/30/2015
CFE-DD-2015-0006 CFE 15-0006 Banco Santander SA 08/26/2015
CFE-DD-2015-0012 CFE 15-0012 Raiffeisen Bank International AG 08/26/2015
CFE-DD-2015-00132 CFE 15-0013 Phillip Futures PTE Ltd. 08/26/2015
CFE-DD-2015-0013 CFE 15-0013 Macquarie Bank Ltd. 08/26/2015
CFE-DD-2015-0004 CFE 15-0004 Eagle Seven LLC, 08/26/2015
CFE-DD-2015-0002 CFE 15-0002 JP Morgan Securities, LLC 04/22/2015
CFE-DD-2015-0001 CFE 15-0001 SG Americas Securities, LLC 03/25/2015
CFE-DD-2015-0007-a CFE 14-0007 National Bank Financial Inc. 01/27/2015

2014

Enforcement No. Title Date
CFE-DD-2014-0006 CFE 14-0006 Unicredit Bank AG 12/29/2014
CFE-DD-2014-0005 CFE 14-0005 MNR Executions, LLC 11/05/2014
CFE-DD-2014-0003 CFE 14-0003 RBC Capital Markets, LLC 11/05/2014
CFE-DD-2014-0004 CFE 14-0004 Rosenthal Collins Group LLC 10/06/2014
CFE-DD-2014-0002 CFE 14-0002 Morgan Stanley & Co. LLC 10/06/2014
CFE-DD-2014-0001 CFE 14-0001 Exchange Connectivity 08/08/2014
CFE-DD-2013-0004 CFE 13-0004 Credit Suisse Securities (USA), LLC 02/27/2014

2013

Enforcement No. Title Date
CFE-DD-2013-0003 CFE 13-0003 Credit Suisse Securities (USA), LLC 10/16/2013
CFE-DD-2013-0002-Flow Traders CFE 13-0002 Flow Traders BV 08/12/2013

2012

Enforcement No. Title Date
CFE-DD-12-000212-0003-and CFE 12-0002 and CFE12-0003 Goldman Sachs Execution & Clearing, L.P. 11/07/2012
CFE-DD-2012-0001 CFE 12-0001 Advantage Futures, LLC 10/08/2012
CFE-DD-2007-0001 CFE 07-0001 Goldman, Sachs & Co. 10/08/2012