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Product LoginThe NASDAQ Options Market Disciplinary Actions
2023
| Enforcement No. | Title | Date |
|---|---|---|
| No. 2017056214407 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017056214407, Jefferies LLC |
12/7/2023 |
| No. 2019.12.0093 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.12.0093, Deutsche Bank Securities, Inc. |
2/15/2023 |
2022
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20180580170-05 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20180580170-05, Global Execution Brokers, LP |
9/23/2022 |
| No. 2019061065704 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061065704, Jefferies LLC |
8/23/2022 |
| No. 2018060117901 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018060117901, Dash Financial Technologies LLC |
5/16/2022 |
| No. 2020.08.0234 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.08.0234, IMC Financial Markets |
4/18/2022 |
2021
| Enforcement No. | Title | Date |
|---|---|---|
| No. 2015046278307 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015046278307 Citadel Securities LLC |
12/27/2021 |
| No. 2020.01.0101 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.01.0101, Citigroup Global Markets, Inc. |
11/19/2021 |
| No. 2020.11.0260 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.11.0260, Virtu Americas LLC |
9/8/2021 |
| 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 |
2020
| Enforcement No. | Title | Date |
|---|
No notices
2019
| Enforcement No. | Title | Date |
|---|---|---|
| No. 2012034704505 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2012034704505, Credit Suisse Securities (USA) LLC |
12/23/2019 |
| No. 2016048771302 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2016048771302, RBC Capital Markets, LLC |
12/02/2019 |
2018
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20140411279-07 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140411279-07, Merrill Lynch, Pierce, Fenner & Smith Inc. |
9/26/2018 |
| No. 20160493435-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160493435-01, RBC Capital Markets, LLC |
5/9/2018 |
| No. 20140414439-07 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140414439-07, Wolverine Trading, LLC |
5/2/2018 |
| No. 20130368360-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130368360-04, Instinet, LLC |
4/11/2018 |
2017
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20120348296-07 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120348296-07, J.P. Morgan Securities LLC |
6/28/2017 |
| No. 20140419133-02 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140419133-02, Susquehanna Securities |
6/27/2017 |
2016
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20140418701-05 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140418701-05, Citi Order Routing and Execution, LLC |
12/21/2016 |
| No. 20130362578-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130362578-04, Lime Brokerage LLC |
12/20/2016 |
| No. 20130374348-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130374348-04, J.P. Morgan Securities LLC |
08/22/2016 |
2015
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20110292793-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110292793-01, Credit Suisse Securities (USA) LLC |
10/15/2015 |
| No. 20120334122-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120334122-01, Virtu Financial BD LLC |
10/09/2015 |
| No. 20110301661-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110301661-01, UBS Securities LLC |
07/13/2015 |
| No. 20110277299-04 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110277299-04, Merrill Lynch, Pierce, Fenner & Smith Inc. |
06/23/2015 |
| No. 20130366433-03 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130366433-03, Merrill Lynch Professional Clearing Corp. |
06/25/2015 |
| No. 20100236861-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100236861-01, optionsXpress, Inc. |
03/20/2015 |
2014
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20110261143-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110261143-01, Cantor FItzgerald & Co. |
09/12/2014 |
| No. 20110275391-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110275391-01, Cantor FItzgerald & Co. |
03/14/2014 |
2013
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20110275386-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110275386-01, Barclays Capital Inc. |
10/22/2013 |
| No. 20110259552-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110259552-01, UBS Securities LLC |
01/15/2013 |
2012
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20100233513-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100233513-01, Hold Brothers Online Investment Services, LLC |
09/24/2012 |
| No. 20100217585-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100217585-01, Morgan Stanley & Co. LLC | 07/12/2012 |
2011
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20090180679-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090180679-01, Thinkorswim, Inc. | 05/27/2011 |
| No. 20080144546-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080144546-01, Newedge USA, LLC | 03/18/2011 |
2010
| Enforcement No. | Title | Date |
|---|---|---|
| No. 20080144510-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080144510-01, Merrill Lynch, Pierce, Fenner & Smith, Inc. | 11/12/2010 |
| No. 20080144520-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080144520-01, National Financial Services, LLC | 11/12/2010 |
| No. 20080153938-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080153938-01, SG Americas Securities, LLC | 11/12/2010 |
| No. 20080137271-01 | Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20080137271-01, JP Morgan Securities, Inc. | 03/24/2010 |
