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PHLX Disciplinary Actions

2014

Enforcement No. Title Date
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

2013

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
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 OMX 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

2012

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

2011

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

2010

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

2009

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