Bats EDGX Disciplinary Actions

2016

Enforcement No. Title Date
No.: 20140430988-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No.20140430988-04, BNP Paribas Securities Corp. 11/30/2016
No.: 20140430990-07 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430990-07, Jump Trading, LLC 11/30/2016
No.: 20100215956-07 Statement of Charges No. 20100215956-07, Lek Securities Corporation 11/22/2016
No.: 20140406468-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140406468-04, Wolverine Execution Services, LLC 11/17/2016
No.: 20160490438-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20160490438-04, Citigroup Global Markets Inc. 11/04/2016
No.: 20120344693-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120344693-04, Merrill Lynch, Pierce, Fenner & Smith Incorporated 10/25/2016
No.: 20140397939-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140397939-01, Ronin Capital, LLC 09/01/2016
No.: 20130367785-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20130367785-05, Nomura Securities International, Inc. 08/08/2016
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