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Product LoginPHLX Disciplinary Actions
2013
| Enforcement No. | Title | Date |
|---|---|---|
| 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 |
| 2012-132012-15 | 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 |
