Bats EDGX Disciplinary Actions

2016

Enforcement No. Title Date
No.: 20140397934-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140397934-01, Xambala Capital, LLC 01/07/2016

2015

Enforcement No. Title Date
No.: 20120323306-08 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120323306-08, UBS Securities LLC 12/31/2015
No.: 20120310864-08 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310864-08, Stock USA Execution Services, Inc. 05/08/2015

2014

Enforcement No. Title Date
20120316581 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120316581, IMC Financial Markets, (CRD No. 104143) 08/12/2014
20110280330 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110280330, Electronic Transaction Clearing, Inc. (CRD No. 146122) 03/28/2014

2012

Enforcement No. Title Date
2009021082504 EDGX Exchange, Inc. Disciplinary Proceeding against Genesis Securities, LLC (CRD No. 46992) and William C. Yeh (CRD No. 2688332) 05/14/2012