2014

Enforcement No. Title Date
No. 20110293571-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110293571-01,
OCTEG, LLC
1/13/2014
No. 20110291711-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110291711-01,
Wolverine Trading LLC
1/13/2014

2013

Enforcement No. Title Date
No. 20110265025-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110265025-01,
Stock USA Execution Services, Inc.
11/25/2013
No. 20110280705-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110280705-01,
UBS Securities
08/05/2013
No. 20090166268-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090166268-02,
VTrader Pro
07/26/2013

2012

Enforcement No. Title Date
No. 20100236863-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100236863-01,
ABN AMRO Clearing Chicago, LLC
12/24/2012
No. 20100222173-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100222173-01,
Morgan Stanley & Co., LLC
12/19/2012
No. 20100211739-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100211739-01,
National Financial Services, LLC
11/21/2012
No. 20100233513-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100233513-02,
Hold Brothers Online Investment Services, LLC
09/24/2012
No. 20100235041-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20100235041-01, Goldman, Sachs & Co. 09/12/2012