PHLX Disciplinary Actions

2024

Enforcement No.	Title	Date
No. 2021.11.363	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2021.11.363 Morgan Stanley & Co LLC	5/07/2024
No. 2020067485602	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020067485602 BofA Securities, Inc.	4/30/2024
No. 2019063499509	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019063499509 Goldman Sachs & Co. LLC	2/06/2024

Enforcement No.	Title	Date
No. 2019061053401	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061053401 Brian M. Ladouceur	12/22/2023
No. 2017056214408	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017056214408 Jefferies LLC	12/07/2023
No. 2020.08.0235	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.08.0235 TP ICAP Global Markets, LLC	10/04/2023
No. 2017055657513	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017055657513 Electronic Transaction Clearing, Inc.	09/08/2023
No. 2022.11.0411	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2022.11.0411 Sumo Capital, LLC	08/30/2023
No. 2021.05.0319	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2021.05.0319 RBC Capital Markets, LLC	06/12/2023
No. 2018059146504	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018059146504 Goldman Sachs & Co. LLC	4/4/2023
No. 2017054491008	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017054491008 Wedbush Securities Inc.	1/19/2023

Enforcement No.	Title	Date
No. 20180580170-06	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20180580170-06 Global Execution Brokers, LP	9/23/2022
No. 2019061065701	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061065701 Jefferies LLC	8/23/2022
No. 2017053210204	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053210204 Sagetrader, LLC	7/20/2022
No. 2019.12.0089	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.12.0089 Wolverine Trading, LLC	7/12/2022
No. 2018060117905	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018060117905 Dash Financial Technologies LLC	5/16/2022
No. 2019061061105	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061061105 Goldman Sachs & Co. LLC	4/14/2022

Enforcement No.	Title	Date
No. 2015046278301	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015046278301 Citadel Securities LLC	12/27/2021
No. 2014043121005	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014043121005 Deutsche Bank Securities Inc.	9/10/2021
No. 2019.10.0065	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.10.0065 Instinet, LLC	8/09/2021
No. 2018057172902	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018057172902 Sumo Capital, LLC	7/22/2021
No. 2019061058202	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061058202 CTC, LLC	7/21/2021
No. 2016051325702	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051325702 Barclays Capital Inc.	5/4/2021
No. 2016051325702	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016051325702 Barclays Capital Inc.	5/4/2021
No. 2019.02.0025	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.02.0025 William McCormack	4/23/2021
No. 2019.02.0023	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.02.0023 Dash Financial Technologies LLC	3/23/2021

Enforcement No.	Title	Date
No. 2016050292001	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016050292001 Deutsche Bank Securities Inc.	11/3/2020
No. 2019.11.0080	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.11.0080 Walleye Trading LLC	10/27/2020
No. 2018057171902	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018057171902 Sanford C. Bernstein & Co., LLC	9/9/2020
No. 2015045755504	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045755504 John Grifonetti	7/23/2020
No. 2015045755513	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045755513 Douglas A. Sanzone	7/23/2020
No. 2017053131501	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053131501 Nomura Securities International, Inc.	6/24/2020
No. 2015048329302	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015048329302 Morgan Stanley & Co. LLC	6/3/2020
No. 2015045755513	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045755513 Douglas A. Sanzone	6/1/2020
No. 2018058715201	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018058715201 Freda Ginsberg McCullough	5/29/2020
No. 2016048770602	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016048770602 Credit Suisse Securities (USA) LLC	3/4/2020
No. 20170540013-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20170540013-02 Cowen and Company	3/3/2020
No. 2017053128502	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053128502 Morgan Stanley & Co. LLC	2/18/2020
No. 2017053129501	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053129501 Raymond James & Associates, Inc.	1/13/2020
No. 2017053129604	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053129604 BNP Paribas Securities Corp.	1/7/2020

Enforcement No.	Title	Date
No. 2016048652002	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016048652002 Christopher Quigley c/o J.A.K. Securities, Inc.	12/24/2019
No. 2016048652001	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016048652001 J.A.K. Securities, Inc., James A. Kelly	12/24/2019
No. 2012034704503	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2012034704503 Credit Suisse Securities (USA) LLC	12/23/2019
No. 2016052030901	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016052030901 ICAP Corporates LLC	12/19/2019
No. 2011029713014 & 2012033667305	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No.2011029713014 & 2012033667305 Lek Securities Corporation, Respondent	12/17/2019
No. 2014043557406	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No.2014043557406 Jefferies Execution Services, Inc. n/k/a Jefferies LLC	12/12/2019
No. 2018.06.0007	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018.06.0007 UBS Securities LLC	12/9/2019
No. 2016048771301	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016048771301 RBC Capital Markets, LLC	12/2/2019
No. 2017053129001	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053129001 BMO Capital Markets Corp.	11/20/2019
No. 2017053128902	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053128902 CIBC World Markets Corp.	10/28/2019
No. 2013037572604	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2013037572604 Lime Brokerage, LLC	8/15/2019
No. 2016048769502	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016048769502 Jefferies, LLC	8/14/2019
No. 2012035187503	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2012035187503 Clear Street Markets, LLC	7/25/2019
No. 2014042373807	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2014042373807 Clearpool Execution Services, LLC	7/10/2019
No. 2016048771703	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016048771703 SG Americas Securities, LLC, Respondent	6/17/2019
No. 2018.07.0023	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018.07.0023 Monadnock Capital Management, LP	4/8/2019
No. 2015046944501	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015046944501 Monadnock Capital Management, LP	2/14/2019
No. 2015047551601	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015047551601 UBS Securities LLC, Respondent	1/29/2019
No. 2015045758302	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045758302 Lek Securities Corporation	1/24/2019

Enforcement No.	Title	Date
No. 20150483276-02	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150483276-02 SG Americas Securities, LLC	10/24/2018
No. 20140411279-08	Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20140411279-08, Merrill Lynch, Pierce, Fenner & Smith Inc.	9/26/2018
No. 20150467692-05	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150467692-05 GTS Securities LLC	9/25/2018
No. 20120314807-20	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-20 Simon Librati	8/30/2018
No. 20120314807-06	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120314807-06 Maurice Bensoussan	8/29/2018
No. 20150467547-01	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150467547-01 Sumo Capital, LLC	5/9/2018
No. 20140414439-06	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140414439-06 Wolverine Trading, LLC.	5/2/2018
No. 20130368360-03	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130368360-03 Instinet, LLC.	4/11/2018
No. 20150443242-03	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150443242-03 Deutsche Bank Securities Inc.	2/13/2018

Enforcement No.	Title	Date
2017-19	Notice of Disciplinary Action Against Nomura Securities International, Inc., Member Organization	12/20/2017
2017-18	Notice of Disciplinary Action Against Richard M. Vogt, Proprietary Trader, Member Organization	12/20/2017
2017-17	Notice of Disciplinary Action Against Mangal D. Tyagi, Jr., Proprietary Trader, Member Organization	12/20/2017
2017-16	Notice of Disciplinary Action Against Nomura Securities International, Inc., Member Organization	12/20/2017
2017-15	Notice of Disciplinary Action Against Wells Fargo Securities LLC, Member Organization	12/20/2017
2017-14	Notice of Disciplinary Action Against Oppenheimer & Co. Inc., Member Organization	10/06/2017
2017-13	Notice of Disciplinary Action BMO Capital Markets Corp., Member Organization	10/05/2017
2017-12	Notice of Disciplinary Action Against Goldman, Sachs & Co., LLC, Member Organization	7/12/2017
2017-11	Notice of Disciplinary Action Against Jump Trading, LLC, Member Organization	6/28/2017
2017-10	Notice of Disciplinary Action Against J.P. Morgan Securities LLC, Member Organization	7/27/2017
2017-9	Notice of Disciplinary Action Against Susquehanna Securities, Member Organization	8/2/2017
2017-8	Notice of Disciplinary Action Against Deutsche Bank Securities, Inc., Member Organization	7/27/2017
2017-7	Notice of Disciplinary Action Against ICAP Corporates LLC, Member Organization	9/1/2017
2017-6	Notice of Disciplinary Action Against Brencis Matthew, a Former Proprietary Trader of T3 Trading Group, LLC, Member Organization	9/1/2017
2017-5	Notice of Disciplinary Action Against Stuart H. Dorfman, a Former Proprietary Trader of T3 Trading Group, LLC, Member Organization	9/1/2017
2017-4	Notice of Disciplinary Action Against Two Sigma Securities, LLC, Member Organization	4/11/2017
2017-3	Notice of Disciplinary Action Against UBS Securities, LLC, Member Organization	4/11/2017
2017-2	Notice of Disciplinary Action Against Susquehanna Securities, Member Organization	4/4/2017
2017-1	Notice of Disciplinary Action Against Wolverine Execution Services, LLC, Member Organization	4/4/2017

Enforcement No.	Title	Date
2016-18	Notice of Disciplinary Action Against Walleye Trading LLC, Member Organization	12/19/2016
2016-17	Notice of Disciplinary Action Against Automated Trading Desk Financial Services, LLC., Member Organization	12/21/2016
2016-16	Notice of Disciplinary Action Against UBS Securities LLC, Member Organization	12/19/2016
2016-15	Notice of Disciplinary Action Against Lime Brokerage LLC, Member Organization	12/19/2016
2016-14	Notice of Disciplinary Action Against Wolverine Trading, LLC, Member Organization	09/27/2016
2016-13	Notice of Disciplinary Action Against PTR, Inc., Member Organization	09/27/2016
2016-12	Notice of Disciplinary Action Against Nomura Securities International, Inc., Member Organization	09/27/2016
2016-10	Notice of Disciplinary Action Against J.P. Morgan Securities LLC, Member Organization	08/19/2016
2016-11	Notice of Disciplinary Action Against Nomura Securities International, Inc., Member Organization	07/19/2016
2016-9	Notice of Disciplinary Action Against Jefferies LLC, Member Organization	07/18/2016
2016-8	Notice of Disciplinary Action Against Cutler Group, LP, Member Organization	07/19/2016
2016-7	Notice of Disciplinary Action Against Morgan Stanley & Co. LLC, Member Organization	07/18/2016
2016-6	Notice of Disciplinary Action Against Goldman, Sachs & Co., Member Organization	07/18/2016
2016-5	Notice of Disciplinary Action Against Citigroup Derivatives Markets Inc., Member Organization	07/18/2016
2016-4	Notice of Disciplinary Action Against Volant Liquidity, LLC, Member Organization	07/18/2016
2016-2	Notice of Disciplinary Action Against Deutsche Bank Securities Inc., Member Organization	03/23/2016
2016-1	Notice of Disciplinary Action Against SG Americas Securities, LLC, Member Organization	03/28/2016

Enforcement No.	Title	Date
2015-12	Notice of Disciplinary Action Against UBS Securities LLC, Member Organization	12/29/2015
2015-16	Notice of Disciplinary Action Against UBS Securities LLC, Member Organization	12/21/2015
2015-15	Notice of Disciplinary Action Against Sumo Capital, LLC, Member Organization	12/21/2015
2015-14	Notice of Disciplinary Action Against Group One Trading, L.P., Member Organization	12/21/2015
2015-11	Notice of Disciplinary Action Against Joseph Constantine Monte, Former Member Organization	11/23/2015
2015-11	Notice of Disciplinary Action Against Seth Gordon Rosen, Former Member Organization	11/23/2015
2015-11	Notice of Disciplinary Action Against Quad Capital, LLC, Former Member Organization	11/23/2015
2015-13	Notice of Disciplinary Action Against Bluefin Trading, LLC, Member Organization	11/10/2015
2015-10	Notice of Disciplinary Action Against Credit Suisse Securities (USA) LLC a Former Member Organization	10/15/2015
2015-09	Notice of Disciplinary Action Against G-2 Trading, LLC a Former Member Organization	08/31/2015
2015-08	Notice of Disciplinary Action Against Virtu Financial BD LLC, Member Organization	08/31/2015
2015-07	Notice of Disciplinary Action Against Virtu Financial Capital Markets LLC, Member Organization	08/31/2015
2015-06	Notice of Disciplinary Action Against Barclays Capital Inc,, a Member Organization	07/13/2015
2014-15 and 2015-05	Notice of Disciplinary Action Against PTR, Inc, a Member Organization	07/01/2015
2015-04	Notice of Disciplinary Action Against Merrill Lynch Pierce Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp, a Member Organization	06/24/2015
2015-03	Notice of Disciplinary Action Against Merrill Lynch Professional Clearing Corp., a Member Organization	06/23/2015
2015-02	Notice of Disciplinary Action Against Consolidated Trading, LLC, a Member Organization	06/18/2015
2015-01	Notice of Disciplinary Action Against D&D Securities, Inc., a Member Organization	04/09/2015

Enforcement No.	Title	Date
2014-19	Notice of Disciplinary Action Against BMack Trading, LLC and William T. McCormack, Former Associated Persons of Husky Trading, LLC, a Member Organization	06/30/2015
2014-18	Notice of Disciplinary Action Against Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp., both Member Organizations	12/22/2014
2014-17	Notice of Disciplinary Action Against Wolverine Execution Services, LLC, a Member Organization	12/22/2014
2014-16	Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Rosenbaum Capital, LLC, a Former Member Organization	11/20/2014
2014-14	Notice of Disciplinary Action Against Eugene P. O’Brien, a Former Managing Partner, Representative, Compliance Officer, Permit Holder, Registered Options Trader, and Floor Broker of Husky Trading, LLC,, a Member Organization	06/26/2015
2014-13	Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against D&D Securities, Inc., Member Organization	11/19/2014
2014-12	Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Bluefin Trading, LLC, Member Organization	11/7/2014
2014-11	Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Market Street Securites Inc., former Member Organization	11/10/2014
2014-06	Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Morgan Stanley & Co, LLC, Member Organization	8/18/2014
2014-09	Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Walleye Trading, LLC, Member Organization	8/4/2014
2014-08	Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Volant Liquidity, LLC, Member Organization	8/4/2014
2014-07	Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against UBS Securities, LLC, Member Organization	8/4/2014
2014-05	Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Group One Trading, LP, Member Organization	8/4/2014
2014-04	Notice, Pursuant to Exchange Rule 960.8, of Disciplinary Action Against Cutler Group, LP, Member Organization	8/4/2014
2014-02	Notice of Disciplinary Action Against Cutler Group, LP, Member Organization	4/8/2014
2014-01	Notice of Disciplinary Action Against Darren S. Grunberg, Former Associated Person of RBC Professional Trader Group, LLC (n/k/a G-2 Trading, LLC), Member Organization	3/7/2014
2012-14	Notice of Disciplinary Action Against Husky Trading LLC, a Former Member Organization	3/7/2014
2012-17	Notice of Disciplinary Action Against Solaris Alternative Capital Partners, L.P., a Former Member Organization, and Pasquale R. DiDonato, a Former Compliance Officer of Solaris Alternative Capital Partners, L.P.	2/21/2014

Enforcement No.	Title	Date
2013-06	Notice of Disciplinary Action Against G-2 Trading, a Member Organization, and David S. Abramson, Cheif Operating Officer of G-2 Trading, LLC	12/20/2013
2013-05	Notice of Disciplinary Action Against Largo Trading, L.P., a Member Organization	12/20/2013
2013-04	Notice of Disciplinary Action Against UBS Securities, LLC, a Member Organization	6/10/2013
2013-03	Notice of Disciplinary Action Against Cowen and Company, LLC, a Member Organization	6/10/2013
2013-02	Notice of Disciplinary Action Against Cutler Group, LP, a Member Organization	6/10/2013
2014-03	Notice of Disciplinary Action Against HAP Trading, LLC, Member Organization, Saagar Kamal Gupta, former proprietary trader and associated person of HAP Trading, LLC, and Harsh A. Padia, Chief Executive Officer and Managing Member of HAP Trading, LLC	5/12/2013
2012-10	Notice of Disciplinary Action Against Rosenbaum Capital, LLC, a former Member Organization, and Jonathan Levene, a former Associated Person of Rosenbaum Capital, LLC	4/03/13
2013-01	Notice of Disciplinary Action Against PTR, Inc. (“PTR” or the “Firm”), a member organization of the NASDAQ PHLX LLC (“PHLX” or the “Exchange”).	4/01/13
2012-12	Notice of Disciplinary Action Against Bullock Trading LP, a former Member Organization, and Jason Ferrari, a former Associated Person of Bullock Trading LP	3/26/13
2012-16	Notice of Disciplinary Action Against Cutler Group, LP, a Member Organization	1/3/13
2012-13 2012-15	Notice of Disciplinary Action Against J.A.K. Securities, Inc., a Member Organization	1/3/13

Enforcement No.	Title	Date
2012-09	Notice of Disciplinary Action Against Goldman, Sachs & Co., a Member Organization	10/10/12
2012-08	Notice of Disciplinary Action Against Keystone Trading Partners, a Member Organization, and Eric Schmid and Vincent Jackson, Associated Persons of Keystone Trading Partners	06/21/12
2012-07	Notice of Disciplinary Action Against VTrader PRO, LLC, a Member Organization, and Mark Kenesky, Associated Person of VTrader PRO, LLC	06/21/12
2012-06	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Octeg, LLC, Member Organization	06/12/12
2012-05	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Sumo Capital, LLC, Member Organization	06/12/12
2010-23	Notice of Disciplinary Action Against D&D Securities, Inc., a Member Organization, and Nicholas DiCicco, Associated Person of D&D Securities, Inc.	05/07/12
2011-10	Notice of Disciplinary Action Against David N. Rades, Former Associated Person of Echotrade, LLC, a Former Member Organization	4/24/12
2012-04	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against J.P. Morgan Clearing Corp., Member Organization	04/10/12
2012-03	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Group One Trading, LP, Member Organization	03/15/12
2012-02	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Toro Trading, LLC, Member Organization	03/15/12
2012-01	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Gelber Securities, LLC, Member Organization	03/15/12

Enforcement No.	Title	Date
2011-09	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Quad Capital, LLC, Member Organization	12/29/11
2011-08	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against G-2 Trading, LLC, Member Organization	12/29/11
2011-07	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Merrill Lynch Professional Clearing Corp, Member Organization	12/08/11
2011-06	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Optiver US, LLC, Member Organization	06/27/11
2011-05	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Tiberius Qualified Master Fund, Ltd., Member Organization	06/27/11
2011-04	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Keystone Trading Partners, Member Organization, and Timothy D. Lobach, Associated Person of Keystone	07/07/11
2011-03	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Consolidated Trading, LLC., Member Organization	06/02/11
2011-02	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Cutler Group, Inc., Member Organization	06/02/11
2011-01	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against McGowan Investors, L.P., Former Member Organization	07/22/11

Enforcement No.	Title	Date
2010-22	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Madison Proprietary Trading Group, LLC, Member Organization	12/29/10
2010-21	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Bedrock Trading, Ltd., Member Organization	12/29/10
2010-20	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Keystone Trading Partners, Member Organization	12/29/10
2010-19	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Howard J. Lang, Former Associated Person of Echotrade, LLC, Member Organization	12/29/10
2010-16	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against PTR, Inc., Member Organization	12/10/10
2010-15	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Merrill Lynch Professional Clearing Corp, Member Organization	12/10/10
2010-14	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against PTR, Inc., Member Organization	09/24/10
2010-13	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Echotrade, LLC, Member Organization	09/24/10
2010-12	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against PTR, Inc., Member Organization	08/02/10
2010-11	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Jalobe Securities, LP, Former Member Organization	08/02/10
2010-10	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Monadnock Capital Management, LP, Member Organization	08/02/10
2010-09	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Madison Proprietary Trading Group, LLC, Member Organization	08/02/10
2010-08	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Peter P. Cullen, Former Associated Person of a Member Organization	08/02/10
2010-03	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against HSBC Securities, Inc., Member Organization	04/28/10
2010-02	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against RBC Professional Trader Group, LLC, Member Organization	04/28/10
2010-01	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Timber Hill, LLC, Member Organization	04/28/10
2010-07	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Group One Trading, LP, Member Organization	04/19/10
2010-06	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Toro Trading, LP, Member Organization	04/19/10
2010-05	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Citigroup Derivatives Markets, Inc., Member Organization	04/19/10
2010-04	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Bullock Trading, LP, Member Organization	04/19/10
2009-33	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Cutler Group, LP, Member Organization	02/16/10
2009-31	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Cutler Group, LP, Member Organization	02/16/10
2009-29	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against SLK-Hull Derivatives, LLC, Former Member Organization	02/16/10
2009-30	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Morgan Stanley & Co. Incorporated, Member Organization	01/22/10
2009-32	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Monadnock Capital Management, LP, Member Organization	01/08/10
2009-27	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against M. Burtnick & Co., Former Member Organization	01/05/10

Enforcement No.	Title	Date
2009-34	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Argyle Investments, LLC, Former Member Organization	12/24/09
2009-25	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Offman Securities, LLC, Member Organization	11/27/09
2009-26	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against McGowan Investors, LP, Member Organization	11/20/09
2009-28	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against DSX, Inc., Member Organization	11/19/09
2009-24	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Bedrock Trading LTD, Member Organization	11/19/09
2009-23	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Bullock Trading, LP, Member Organization	08/06/09
2009-22	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Largo Trading, L.P., Member Organization	07/27/09
2009-21	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against First Derivative Traders, L.P., Member Organization	07/14/09
2009-20	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Knight Financial Products LLC, Former Member Organization	07/14/09
2009-16	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against D&D Securities, Inc., Member Organization	07/01/09
2009-15	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against D&D Securities, Inc., Member Organization	07/01/09
2009-17	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against PTR, Inc., Member Organization	06/03/09
2009-14	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against PTR, Inc., Member Organization	06/03/09
2009-19	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Gradient Trading, LLC, Former Member Organization	05/19/09
2009-13	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Equitec Proprietary Markets, LLC, Member Organization	05/19/09
2009-12	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against LaBranche Structured Products, LLC, Member Organization	05/19/09
2009-11	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Van der Moolen Specialists USA, LLC, Former Member Organization	05/19/09
2009-10	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against First Derivative Traders, L.P., Member Organization	05/19/09
2009-09	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Market Street Securities, Inc., Member Organization	05/19/09
2009-08	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Group One Trading, L.P., Member Organization	05/19/09
2009-07	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Susquehanna Investment Group, Member Organization	05/19/09
2009-06	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Gradient Trading, LLC, Former Member Organization	04/09/09
2009-02	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against D&D Securities, Inc., Member Organization	03/20/09
2009-04	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against J.A.K. Securities, Inc., Member Organization	03/20/09
2009-05	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against Madison Proprietary Trading Group, LLC, Member Organization	03/17/09
2009-03	Notice, Pursuant to Exchange By-law 18-2, of Disciplinary Action Against DSX, Inc., Former Member Organization	03/16/09

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