Rules and Regulation

    Nasdaq Market Regulation

    U.S. Disciplinary Actions

    Disciplinary Actions By Year

    2024

    DateMarketCase NumberName
    2024-11-15NQ2020.06.0171Citigroup Global Markets Inc.
    2024-10-31NOM2022074101001Morgan Stanley & Co. LLC
    2024-10-31GEMX2022074101002Morgan Stanley & Co. LLC
    2024-08-28NQ2017055087002Merrill Lynch, Pierce, Fenner & Smith, Incorporated
    2024-08-19NQ2021.09.0341TradeLink Securities, LLC
    2024-08-07PHLX2020067596702Barclays Capital, Inc.
    2024-07-31NQ2018060986402SpeedTrader, Inc.
    2024-05-28NQ2020066382602BofA Securities, Inc.
    2024-05-07BX2021.11.363Morgan Stanley & Co LLC
    2024-05-07PHLX2021.11.363Morgan Stanley & Co LLC
    2024-04-30PHLX2020067485602BofA Securities, Inc.
    2024-04-30GEMX2020067485608BofA Securities, Inc.
    2024-04-30NOM2020067485601BofA Securities, Inc.
    2024-04-30ISE2020067485607BofA Securities, Inc.
    2024-04-25NQ2020.01.0108Interactive Brokers LLC
    2024-03-13NQ2019064352202GTS Securities LLC
    2024-02-06NQ2019063499507Goldman Sachs & Co. LLC
    2024-02-06BX2019063499508Goldman Sachs & Co. LLC
    2024-02-06PHLX2019063499509Goldman Sachs & Co. LLC

    Date Market Case Number Name
    2023-12-22 PHLX 2019061053401 Brian M. Ladouceur
    2023-11-07 ISE 20200651148 Tradition Securities and Derivatives LLC
    2023-10-04 PHLX 2020.08.0235 TP ICAP Global Markets, LLC
    2023-09-08 PHLX 2017055657513 Electronic Transaction Clearing, Inc.
    2023-09-08 BX 2017055657512 Electronic Transaction Clearing, Inc.
    2023-09-08 NQ 2017055657511 Electronic Transaction Clearing, Inc.
    2023-08-30 PHLX 2022.11.0411 Sumo Capital, LLC
    2023-07-19 ISE 2019.09.0062 BGC Financial, L.P.
    2023-06-12 PHLX 2021.05.0319 RBC Capital Markets, LLC
    2023-06-12 Nasdaq 2021.05.0319 RBC Capital Markets, LLC
    2023-05-22 Nasdaq 2018058111302 J.P. Morgan Securities LLC
    2023-04-17 Nasdaq 2018057188802 Regal Securities, Inc.
    2023-04-04 PHLX 2018059146504 Goldman Sachs & Co. LLC
    2023-04-04 BX 2018059146503 Goldman Sachs & Co. LLC
    2023-04-04 Nasdaq 2018059146502 Goldman Sachs & Co. LLC
    2023-03-30 ISE 2022.03.0378 J.P. Morgan Securities, Inc.
    2023-02-15 NOM 2019.12.0093 Deutsche Bank Securities, Inc.
    2023-01-19 PHLX 2017054491008 Wedbush Securities Inc.
    2023-01-19 Nasdaq 2017054491009 Wedbush Securities Inc.
    2023-01-19 BX 2017054491007 Wedbush Securities Inc.

    Date Market Case Number Name

    2022-11-29

    Nasdaq

    2021.05.318

    BofA Securities, Inc.

    2022-09-23 BX 20180580170-01 Global Execution Brokers, LP
    2022-09-23 PHLX 20180580170-06 Global Execution Brokers, LP
    2022-09-23 NOM 20180580170-05 Global Execution Brokers, LP
    2022-09-23 ISE 20180580170-04 Global Execution Brokers, LP
    2022-09-23 GEMX 20180580170-02 Global Execution Brokers, LP
    2022-09-23 MRX 20180580170-03 Global Execution Brokers, LP

    2022-09-16

    Nasdaq

    2019061702710

    Vision Financial Markets LLC

    2022-09-16 PSX 2019061702706 Vision Financial Markets LLC

    2022-09-28

    Nasdaq

    2018056929907

    Morgan Stanley & Co. LLC

    2022-08-23 NOM 2019061065704 Jefferies LLC
    2022-08-23 ISE 2019061065703 Jefferies LLC

    2022-07-25

    Nasdaq

    2020.05.0170

    D.A. Davidson & Co.

    2022-07-20

    Nasdaq

    2017053210202

    Sagetrader, LLC

    2022-07-20 PHLX 2017053210204 Sagetrader, LLC
    2022-07-20 BX 2017053210203 Sagetrader, LLC
    2022-07-12 PHLX 2019.12.0089 Wolverine Trading, LLC
    2022-07-12 ISE 2019.12.0089 Wolverine Trading, LLC
    2022-07-12 GEMX 2019.12.0089 Wolverine Trading, LLC
    2022-07-12 MRX 2019.12.0089 Wolverine Trading, LLC
    2022-08-23 PHLX 2019061065701 Jefferies LLC
    2022-08-23 GEMX 2019061065702 Jefferies LLC

    2022-06-29

    Nasdaq

    2015047957002

    T.R. Winston & Company, LLC

    2022-06-14

    Nasdaq

    2015045823202

    Stifel, Nicolaus & Company

    2022-05-16 BX 2018060117902 Dash Financial Technologies LLC
    2022-05-16 PHLX 2018060117905 Dash Financial Technologies LLC
    2022-05-16 NOM 2018060117901 Dash Financial Technologies LLC
    2022-05-16 ISE 2018060117903 Dash Financial Technologies LLC
    2022-05-16 GEMX 2018060117904 Dash Financial Technologies LLC
    2022-05-16 MRX 2018060117906 Dash Financial Technologies LLC

    2022-05-03

    Nasdaq

    2018058781102

    UBS Securities, LLC

    2022-03-02

    Nasdaq

    2015044557301

    Precision Securities

    2022-04-18 NOM 2020.08.0234 IMC Financial Markets
    2022-04-14 PHLX 2019061061105 Goldman Sachs & Co. LLC

    2022-01-14

    Nasdaq

    2020.01.0123

    SpeedRoute LLC

    2022-01-10

    Nasdaq

    2014039952902

    E*TRADE Securities LLC

    Date Market Case Number Name
    2021-12-27 Nasdaq 2015046278305 Citadel Securities LLC
    2021-12-27 BX 2015046278304 Citadel Securities LLC
    2021-12-27 PHLX 2015046278301 Citadel Securities LLC
    2021-12-27 NOM 2015046278307 Citadel Securities LLC
    2021-12-27 ISE 2015046278302 Citadel Securities LLC
    2021-12-27 GEMX 2015046278308 Citadel Securities LLC
    2021-12-27 MRX 2015046278306 Citadel Securities LLC
    2021-11-19 NOM 2020.01.0101 Citigroup Global Markets, Inc.
    2021-10-25 Nasdaq 2018059368301 Roth Capital Partners, LLC
    2021-10-09 PHLX 2014043121005 Deutsche Bank Securities Inc.
    2021-10-09 ISE 2014043121003 Deutsche Bank Securities Inc.
    2021-09-08 NOM 2020.11.0260 Virtu Americas LLC
    2021-08-04 Nasdaq 2017055996902 Piper Sandler & Co. (f/k/a Sandler O’Neill & Partners, L.P.)
    2021-08-09 PHLX 2019.10.0065 Instinet, LLC
    2021-07-22 PHLX 2018057172902 Sumo Capital, LLC
    2021-07-21 PHLX 2019061058202 CTC, LLC
    2021-07-21 ISE 2019061058201 CTC, LLC
    2021-07-28 Nasdaq 2015044078202 CODA Markets. Inc. (f/k/a PDQ ATS. Inc.)
    2021-07-28 BX 2015044078203 CODA Markets. Inc. (f/k/a PDQ ATS. Inc.)
    2021-05-24 Nasdaq 2018057166104 Wolverine Execution Services, LLC
    2021-05-10 Nasdaq 2017055595901 National Financial Services, LLC
    2021-05-04 PHLX 2016051325702 Barclays Capital Inc.
    2021-05-04 PHLX 2016051325702 Barclays Capital Inc.
    2021-04-23 PHLX 2019.02.0025 William McCormack
    2021-04-12 Nasdaq 2020.01.0096 Needham & Company, LLC
    2021-03-23 PHLX 2019.02.0023 Dash Financial Technologies LLC
    2021-03-23 NOM 2019.02.0023 Dash Financial Technologies LLC
    2021-03-30 Nasdaq 2013038684003 Merrill Lynch, Pierce, Fenner & Smith Incorporated
    2021-03-09 Nasdaq 2015045017001 RBC Capital Markets, LLC
    2021-01-08 ISE 2017052473702 Louis Capital Markets, LP

    Date Market Case Number Name
    2020-12-02 Nasdaq 2020.01.0095 Paulson Investment Company LLC
    2020-10-27 PHLX 2019.11.0080 Walleye Trading LLC
    2020-11-03 PHLX 2016050292001 Deutsche Bank Securities Inc.
    2020-11-02 Nasdaq 2019.10.0074 Bruyette & Woods, Inc.
    2020-09-09 PHLX 2018057171902 Sanford C. Bernstein & Co., LLC
    2020-09-01 Nasdaq 2019.06.0052 William Blair & Company, L.L.C.
    2020-08-07 Nasdaq 2019.08.0061 Sandler, O’Neill & Partners, L.P.
    2020-07-23 Nasdaq 2015045755511 Douglas A. Sanzone
    2020-07-23 Nasdaq 2015045755502 John Grifonetti
    2020-07-23 PHLX 2015045755504 John Grifonetti
    2020-07-23 PHLX 2015045755513 Douglas A. Sanzone
    2020-07-23 BX 2015045755503 John Grifonetti
    2020-07-23 BX 2015045755512 Douglas A. Sanzone
    2020-07-17 Nasdaq 2018057166402 Precision Securities, LLC
    2020-07-09 Nasdaq 2019.07.0056 INTL FCStone Financial Inc.
    2020-06-24 PHLX 2017053131501 Nomura Securities International, Inc.
    2020-06-03 PHLX 2015048329302 Morgan Stanley & Co. LLC
    2020-06-03 ISE 2015048329303 Morgan Stanley & Co. LLC
    2020-06-01 PHLX 2015045755513 Douglas A. Sanzone
    2020-05-29 PHLX 2018058715201 Freda Ginsberg McCullough
    2020-05-27 Nasdaq 2015049918101 Charles Schwab & Co., Inc.
    2020-05-13 Nasdaq 2017054051802 Seaport Global Securities LLC
    2020-04-08 Nasdaq 2019.04.0040 Network I Financial Securities Inc.
    2020-03-16 Nasdaq 2015045163501 Cantor Fitzgerald & Co.
    2020-03-04 PHLX 2016048770602 Credit Suisse Securities (USA) LLC
    2020-03-03 PHLX 20170540013-02 Cowen and Company
    2020-02-18 PHLX 2017053128502 Morgan Stanley & Co. LLC
    2020-02-03 Nasdaq 2017056210702 ITG Inc. n/k/a Virtu ITG, LLC
    2020-01-16 Nasdaq 2019.06.0053 Fordham Financial Management, Inc.
    2020-01-13 PHLX 2017053129501 Raymond James & Associates, Inc.
    2020-01-07 PHLX 2017053129604 BNP Paribas Securities Corp.

    Date Market Case Number Name
    2019-12-24 PHLX 2016048652002 Christopher Quigley c/o J.A.K. Securities, Inc.
    2019-12-24 PHLX 2016048652001 J.A.K. Securities, Inc., James A. Kelly
    2019-12-23 Nasdaq 2012034704502 Credit Suisse Securities (USA) LLC
    2019-12-23 BX 2012034704504 Credit Suisse Securities (USA) LLC
    2019-12-23 PHLX 2012034704503 Credit Suisse Securities (USA) LLC
    2019-12-23 NOM 2012034704505 Credit Suisse Securities (USA) LLC
    2019-12-19 PHLX 2016052030901 ICAP Corporates LLC
    2019-12-17 Nasdaq 2014040293002 Cowen & Company, LLC
    2019-12-17 Nasdaq 2011029713005 Lek Securities Corporation
    2019-12-17 BX 2011029713006 Lek Securities Corporation
    2019-12-17 PHLX 2011029713014 & 2012033667305 Lek Securities Corporation, Respondent
    2019-12-17 ISE 2012033667302 Lek Securities Corporation
    2019-12-12 Nasdaq 2014043557405 Jefferies Execution Services, Inc. n/k/a Jefferies LLC
    2019-12-12 BX 2014043557407 Jefferies Execution Services, Inc. n/k/a Jefferies LLC
    2019-12-12 PHLX 2014043557406 Jefferies Execution Services, Inc. n/k/a Jefferies LLC
    2019-02-12 PHLX 2016048771301 RBC Capital Markets, LLC
    2019-02-12 NOM 2016048771302 RBC Capital Markets, LLC
    2019-11-20 PHLX 2017053129001 BMO Capital Markets Corp.
    2019-11-14 ISE 2017053132902 Tullett Prebon Financial Services LLC
    2019-11-08 Nasdaq 2019.05.0046 StockCross Financial Services, Inc.
    2019-10-28 Nasdaq 2019.04.0041 RBC Capital Markets, LLC
    2019-10-28 PHLX 2017053128902 CIBC World Markets Corp.
    2019-10-28 ISE 2017053128903 CIBC World Markets Corp.
    2019-09-12 PHLX 2018.06.0007 UBS Securities LLC
    2019-08-15 Nasdaq 2013037572602 Lime Brokerage, LLC
    2019-08-15 BX 2013037572603 Lime Brokerage, LLC
    2019-08-15 PHLX 2013037572604 Lime Brokerage, LLC
    2019-08-14 PHLX 2016048769502 Jefferies, LLC
    2019-07-25 Nasdaq 2012035187502 Clear Street Markets, LLC
    2019-07-25 PHLX 2012035187503 Clear Street Markets, LLC
    2019-07-10 Nasdaq 2013038210401 Aegis Capital Corp.
    2019-07-10 Nasdaq 2014042373805 Clearpool Execution Services, LLC
    2019-07-10 BX 2014042373806 Clearpool Execution Services, LLC
    2019-07-10 PHLX 2014042373807 Clearpool Execution Services, LLC
    2019-07-08 Nasdaq 2016051145401 Virtu Financial BD LLC
    2019-06-17 PHLX 2016048771703 SG Americas Securities, LLC, Respondent
    2019-06-10 Nasdaq 2016051144701 Citigroup Global Markets Inc.
    2019-05-20 Nasdaq 2017056712301 Merrill Lynch, Pierce, Fenner & Smith Incorporated
    2019-04-08 PHLX 2018.07.0023 Monadnock Capital Management, LP
    2019-04-02 Nasdaq 2016051141401 Mizuho Securities USA Inc.
    2019-03-21 Nasdaq 2016051140601 Janney Montgomery Scott, LLC
    2019-02-14 PHLX 2015046944501 Monadnock Capital Management, LP
    2019-02-08 Nasdaq 2016051141801 OTA LLC
    2019-01-31 Nasdaq 2016051145101 The Vertical Group
    2019-01-29 Nasdaq 2013039483301 ITG Inc.
    2019-01-29 PHLX 2015047551601 UBS Securities LLC, Respondent
    2019-01-25 ISE 2016051745701 Citigroup Derivatives Markets Inc.
    2019-01-24 PHLX 2015045758302 Lek Securities Corporation
    2019-01-24 ISE 2015045758301 Lek Securities Corporation

    Date Market Case Number Name

    2018-12-13

    Nasdaq

    2015046871502

    Chardan Capital Markets LLC

    2018-12-10

    Nasdaq

    2016051145501

    Wedbush Securities Inc.

    2018-11-12

    Nasdaq

    20160511397-01

    IMC Financial Markets

    2018-11-06

    Nasdaq

    20160511383-01

    Deutsche Bank Securities Inc.
    2018-11-04 BX 20130368360-02 Instinet, LLC
    2018-11-04 PHLX 20130368360-03 Instinet, LLC.
    2018-11-04 NOM 20130368360-04 Instinet, LLC

    2018-10-24

    Nasdaq

    20150483276-01

    SG Americas Securities, LLC
    2018-10-24 PHLX 20150483276-02 SG Americas Securities, LLC
    2018-09-26 PHLX 20140411279-08 Merrill Lynch, Pierce, Fenner & Smith Inc.
    2018-09-26 NOM 20140411279-07 Merrill Lynch, Pierce, Fenner & Smith Inc.
    2018-09-26 ISE 20140411279-05 Merrill Lynch, Pierce, Fenner & Smith Inc.
    2018-09-26 GEMX 20140411279-0 Merrill Lynch, Pierce, Fenner & Smith Inc.

    2018-09-25

    Nasdaq

    20150467692-03

    GTS Securities LLC
    2018-09-25 BX 20150467692-04 GTS Securities LLC
    2018-09-25 PHLX 20150467692-05 GTS Securities LLC
    2018-09-05 PHLX 20150467547-01 Sumo Capital, LLC
    2018-09-14 NOM 20170539365 BGC Financial, L.P.
    2018-09-14 GEMX 20170539365 BGC Financial, L.P.
    2018-08-30

    Nasdaq

    20120314807-21

    Simon Librati
    2018-08-30 BX 20120314807-19 Simon Librati
    2018-08-30 PHLX 20120314807-20 Simon Librati

    2018-08-29

    Nasdaq

    20120314807-07

    Maurice Bensoussan
    2018-08-29 BX 20120314807-05 Maurice Bensoussan
    2018-08-29 PHLX 20120314807-06 Maurice Bensoussan

    2018-08-28

    Nasdaq

    20160511439-01

    SunTrust Robinson Humphrey, Inc.

    2018-08-23

    Nasdaq

    20120346239-05

    Morgan Stanley & Co. LLC

    2018-07-02

    Nasdaq

    20160511376-01

    Chardan Capital Markets LLC
    2018-05-09 NOM 20160493435-01 RBC Capital Markets, LLC
    2018-02-13 PHLX 20150443242-03 Deutsche Bank Securities Inc.
    2018-02-05 BX 20140414439-05 Wolverine Trading, LLC
    2018-02-05 PHLX 20140414439-06 Wolverine Trading, LLC.
    2018-02-05 NOM 20140414439-07 Wolverine Trading, LLC

    Date Market Case Number Name
    2017-12-21 NOM 20150455863-02 Nomura Securities International, Inc.
    2017-12-20 PHLX 2017-19 Nomura Securities International, Inc.
    2017-12-20 PHLX 2017-18 Richard M. Vogt, Proprietary Trader
    2017-12-20 PHLX 2017-17 Mangal D. Tyagi, Jr., Proprietary Trader
    2017-12-20 PHLX 2017-16 Nomura Securities International, Inc.
    2017-12-20 PHLX 2017-15 Wells Fargo Securities LLC

    2017-12-18

    Nasdaq

    20130371845-01

    Jefferies LLC

    2017-12-11

    Nasdaq

    20150442002-01

    G1 Execution Services, LLC

    2017-11-09

    Nasdaq

    20130354682-02

    Lightspeed Trading, LLC

    2017-10-31

    Nasdaq

    20140437801-01

    Merrill Lynch, Pierce, Fenner & Smith Incorporated

    2017-10-26

    Nasdaq

    20150457981-04

    GTS Securities LLC
    2017-10-11 BX 20140418707-05 BMO Capital Markets Corp.
    2017-10-11 NOM 20140418707-01 BMO Capital Markets Corp.
    2017-10-06 PHLX 2017-14 Oppenheimer & Co. Inc.
    2017-10-05 PHLX 2017-13 BMO Capital Markets Corp.

    2017-10-04

    Nasdaq

    20150442333-03

    Chimera Securities, LLC

    2017-09-26

    Nasdaq

    20140423775-01

    Ronin Capital, LLC

    2017-09-20

    Nasdaq

    20140416350-03

    RBC Capital Markets, LLC

    2017-09-20

    Nasdaq

    20150480820-01

    Aegis Capital Corp.
    2017-09-20 BX 20140416350-04 RBC Capital Markets, LLC

    2017-09-01

    Nasdaq

    20140412867-01

    Dawson James Securities, Inc.
    2017-09-01 PHLX 2017-7 ICAP Corporates LLC
    2017-09-01 PHLX 2017-6 Brencis Matthew, a Former Proprietary Trader of T3 Trading Group, LLC
    2017-09-01 PHLX 2017-5 Stuart H. Dorfman, a Former Proprietary Trader of T3 Trading Group, LLC
    2017-08-02 PHLX 2017-9 Susquehanna Securities

    2017-07-27

    Nasdaq

    20130393135-05

    Deutsche Bank Securities Inc.
    2017-07-27 BX 20130393135-06 Deutsche Bank Securities Inc.
    2017-07-27 PHLX 2017-10 J.P. Morgan Securities LLC
    2017-07-27 PHLX 2017-8 Deutsche Bank Securities, Inc.

    2017-07-17

    Nasdaq

    20160489184-01

    Raymond James & Associates, Inc.

    2017-07-17

    Nasdaq

    20140399285-01

    GFI Securities LLC
    2017-07-17 NOM 20120313180-03 Goldman, Sachs & Co. LLC
    2017-07-12 PHLX 2017-12 Goldman, Sachs & Co., LLC

    2017-07-11

    Nasdaq

    20150458588-01

    TD Securities (USA) LLC

    2017-06-28

    Nasdaq

    20120348296-03

    J.P. Morgan Securities LLC
    2017-06-28 PHLX 2017-11 Jump Trading, LLC
    2017-06-28 NOM 20120348296-07 J.P. Morgan Securities LLC
    2017-06-27 NOM 20140419133-02 Susquehanna Securities

    2017-06-09

    Nasdaq

    20130354629-04

    Citigroup Global Markets Inc.

    2017-05-23

    Nasdaq

    20120347730-02

    Interactive Brokers, LLC

    2017-05-03

    Nasdaq

    20140411317-02

    Old Mission Capital, LLC
    2017-04-11 PHLX 2017-4 Two Sigma Securities, LLC
    2017-04-11 PHLX 2017-3 UBS Securities, LLC

    2017-04-06

    Nasdaq

    20130391658-05

    Two Sigma Securities, LLC

    2017-04-05

    Nasdaq

    20130365748-01

    Barclays Capital, Inc.

    2017-04-05

    Nasdaq

    20120316421-01

    Morgan Stanley & Co. LLC
    2017-04-04 PHLX 2017-2 Susquehanna Securities
    2017-04-04 PHLX 2017-1 Wolverine Execution Services

    2017-01-24

    Nasdaq

    20150444790-01

    Xambala Capital, LLC

    2017-01-19

    Nasdaq

    20140414536-01

    R.W. Pressprich & Co.

    2017-01-04

    Nasdaq

    20110289645-02

    Maxim Group LLC

    2017-01-03

    Nasdaq

    20080148227-04

    Ben James Raatz

    2017-01-03

    Nasdaq

    20080148227-03

    Lawrence R. Kajmowicz

    Date Market Case Number Name
    2016-12-21 PHLX 2016-17 Automated Trading Desk Financial Services, LLC.
    2016-12-21 NOM 20140418701-05 Citi Order Routing and Execution, LLC

    2016-12-20

    Nasdaq

    20140413222-01

    Tradebot Systems, Inc.
    2016-12-20 NOM 20130362578-04 Lime Brokerage LLC
    2016-12-20 ISE 20130362578-02 Lime Brokerage LLC
    2016-12-19 PHLX 2016-18 Walleye Trading LLC
    2016-12-19 PHLX 2016-16 UBS Securities LLC
    2016-12-19 PHLX 2016-15 Lime Brokerage LLC

    2016-12-16

    Nasdaq

    20130385533-01

    SAL Equity Trading, GP (f-k-a Susquehanna Capital Group)

    2016-12-05

    Nasdaq

    20140438204-02

    Cantor Fitzgerald & Co.

    2016-11-14

    Nasdaq

    20120332393-05

    ABN AMRO Clearing Chicago LLC

    2016-11-07

    Nasdaq

    20150480828-01

    Maxim Group LLC

    2016-11-02

    Nasdaq

    20150449128-01

    Wells Fargo Securities, LLC

    2016-10-31

    Nasdaq

    20140430990-02

    Jump Trading, LLC

    2016-10-31 BX 20140430990-03 Jump Trading, LLC

    2016-10-19

    Nasdaq

    20100235180-01

    Citadel Securities, LLC

    2016-10-07

    Nasdaq

    20150442330-02

    BNY Mellon Capital Markets, LLC

    2016-09-27

    Nasdaq

    20160490438-02

    Citigroup Global Markets Inc.
    2016-09-27 PHLX 2016-13 PTR, Inc.
    2016-09-27 PHLX 2016-12 Nomura Securities International, Inc.
    2016-09-27 PHLX 2016-10 J.P. Morgan Securities LLC

    2016-09-02

    Nasdaq

    20140416239-01

    Aegis Capital Corp.
    2016-08-23 ISE 20130374348-03 J.P. Morgan Securities LLC
    2016-08-23 ISE 20140402502 Interactive Brokers LLC
    2016-08-23 ISE 20150481528 KCG Americas LLC
    2016-08-22 NOM 20130374348-04 J.P. Morgan Securities LLC

    2016-07-19

    Nasdaq

    20120342559-01

    Nomura Securities International, Inc.
    2016-07-19 PHLX 2016-11 Nomura Securities International, Inc.
    2016-07-19 PHLX 2016-8 Cutler Group, LP
    2016-07-18 PHLX 2016-9 Jefferies LLC
    2016-07-18 PHLX 2016-7 Morgan Stanley & Co. LLC
    2016-07-18 PHLX 2016-6 Goldman, Sachs & Co.
    2016-07-18 PHLX 2016-5 Citigroup Derivatives Markets Inc.
    2016-07-18 PHLX 2016-4 Volant Liquidity, LLC

    2016-07-11

    Nasdaq

    20130375865-02

    Essex Radcz LLC 20130375865-02

    2016-04-22

    Nasdaq

    20120316429-02

    Citigroup Global Markets Inc.

    2016-04-01

    Nasdaq

    20120352200-02

    Vandham Securities Corp.

    2016-03-28 PHLX 2016-1 SG Americas Securities, LLC
    2016-03-23 PHLX 2016-2 Deutsche Bank Securities Inc.

    2016-03-11

    Nasdaq

    20120344551-0

    Ascendiant Capital Markets, LLC

    2016-02-25

    Nasdaq

    20120323306-02

    WEDB Securities LLC

    2016-02-25

    Nasdaq

    20130379324-02

    Marcus Carlos Rodriguez

    2016-02-03

    Nasdaq

    20140416264-01

    WEDB Securities LLC
    2016-01-15 BX 20130362190-01 Jefferies LLC

    Date Market Case Number Name

    2015-12-29

    Nasdaq

     20120323306-02

    UBS Securities LLC
    2015-12-29 BX 20130362207-02 COR Clearing, LLC
    2015-12-29 PHLX 2015-12 UBS Securities LLC
    2015-12-21 PHLX 2015-16 UBS Securities LLC
    2015-12-21 PHLX 2015-15 Sumo Capital, LLC
    2015-12-21 PHLX 2015-14 Group One Trading, L.P.
    2015-11-23 PHLX 2015-11 Joseph Constantine Monte
    2015-11-23 PHLX 2015-11 Seth Gordon Rosen
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    J.P. Morgan Securities LLC

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    RBC Capital Markets LLC
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    Stifel Nicolaus & Company Inc.
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    Lazard Capital Markets

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    HAP Trading LLC

    2012-07-12 NOM 20100217585-01 Morgan Stanley & Co. LLC
    2012-06-21 PHLX 2012-08 Keystone Trading Partners
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    Spartan Securities Group LTD

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    Natixis Bleichroeder LLC

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    2011-08-11

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    TD Ameritrade Inc.
    2011-07-22 PHLX 2011-01 McGowan Investors
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    2011-06-27 PHLX 2011-05 Against Tiberius Qualified Master Fund

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    2011-05-13

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    Morgan Stanly & Co. Incorporated

    2011-04-05

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    Blue Fire Capital LLC

    2011-03-18

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    Pershing LLC

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    2010-12-29 PHLX 2010-22 Madison Proprietary Trading Group, LLC
    2010-12-29 PHLX 2010-21 Bedrock Trading, Ltd.
    2010-12-29 PHLX 2010-20 Keystone Trading Partners
    2010-12-29 PHLX 2010-19 Echotrade, LLC

    2010-12-23

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    Cantor Fitzgerald & Co.
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    2010-12-10 PHLX 2010-15 Merrill Lynch Professional Clearing Corp

    2010-11-12

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    2010-10-27

    Nasdaq

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    BTIG, LLC 0080150670-02

    2010-10-20

    Nasdaq

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    Pacific Crest Securities LLC

    2010-09-30

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    Sanford C. Bernstein & Co.

    2010-09-24 PHLX 2010-14 PTR, Inc.
    2010-09-24 PHLX 2010-13 Echotrade, LLC

    2010-08-25

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    Robert W. Baird & Co.

    2010-08-25

    Nasdaq

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    Cowen and Company

    2010-08-19

    Nasdaq

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    First Southwest Company

    2010-08-19

    Nasdaq

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    Cantor Fitzgerald & Co.
    2010-08-02 PHLX 2010-12 PTR, Inc.
    2010-08-02 PHLX 2010-11 Jalobe Securities, LP
    2010-08-02 PHLX 2010-10 Monadnock Capital Management, LP
    2010-08-02 PHLX 2010-09 Madison Proprietary Trading Group, LLC
    2010-08-02 PHLX 2010-08 Peter P. Cullen

    2010-06-29

    Nasdaq

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    Lime Brokerage LLC

    2010-06-29

    Nasdaq

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    Citigroup Global Markets Inc.

    2010-06-29

    Nasdaq

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    Automated Trading Desk Financial Services, LLC

    2010-06-29

    Nasdaq

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    Genesis Securities, LLC

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    Nasdaq

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    Biremis, Corp.

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    Scottrade, Inc.

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    OCTEG, LLC

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    BNP Paribas Securities Corp.

    2010-06-29

    Nasdaq

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    Citadel Securities LLC

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    Nasdaq

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    Wedbush Securities Inc.

    2010-06-29

    Nasdaq

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    Instinet, LLC

    2010-06-29

    Nasdaq

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    UBS Securities LLC

    2010-06-29

    Nasdaq

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    Merrill Lynch, Pierce, Fenner, & Smith Incorporated

    2010-06-29

    Nasdaq

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    Pershing, LLC

    2010-06-29

    Nasdaq

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    TD Ameritrade Clearing, Inc.

    2010-06-29

    Nasdaq

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    Assent, LLC

    2010-06-29

    Nasdaq

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    LightSpeed Trading, LLC

    2010-06-29

    Nasdaq

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    Robert W. Baird & Co.

    2010-06-29

    Nasdaq

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    Goldman Sachs Execution & Clearing L.P.

    2010-06-29

    Nasdaq

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    Natixis Bleichroeder LLC

    2010-04-30

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    Wedbush Morgan Securities, Inc.
    2010-04-28 PHLX 2010-03 HSBC Securities, Inc
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    2010-04-28 PHLX 2010-01 Timber Hill, LLC
    2010-04-19 PHLX 2009-33 Cutler Group, LP
    2010-04-19 PHLX 2009-31 Cutler Group, LP
    2010-04-19 PHLX 2009-29 SLK-Hull Derivatives

    2010-04-06

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    Domestic Securities, Inc.
    2010-03-24 NOM 20080137271-01 JP Morgan Securities, Inc.
    2010-01-22 PHLX 2009-32 Monadnock Capital Management, LP
    2010-01-05 PHLX 2009-27 M. Burtnick & Co.

    Date Market Case Number Name
    2009-12-24 PHLX 2009-34 Argyle Investments, LLC
    2009-11-27 PHLX 2009-25 Offman Securities, LLC
    2009-11-20 PHLX 2009-26 McGowan Investors, LP
    2009-11-19 PHLX 2009-28 DSX, Inc.
    2009-11-19 PHLX 2009-24 Bedrock Trading LTD

    2009-06-08

    PHLX

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    Bullock Trading, LP
    2009-07-27 PHLX 2009-22 Largo Trading, L.P.
    2009-07-14 PHLX 2009-21 First Derivative Traders, L.P.

    2009-07-14

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    Knight Financial Products LLC
    2009-07-01 PHLX 2009-16 D&D Securities, Inc.
    2009-07-01 PHLX 2009-15 D&D Securities, Inc.
    2009-06-03 PHLX 2009-17 PTR, Inc.

    2009-06-03

    PHLX

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    PTR, Inc.

    2009-05-19

    PHLX

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    Gradient Trading, LLC

    2009-05-19

    PHLX

    2009-13

    Equitec Proprietary Markets, LLC
    2009-05-19 PHLX 2009-12 LaBranche Structured Products, LLC
    2009-05-19 PHLX 2009-11 Van der Moolen Specialists USA

    2009-05-19

    PHLX

    2009-10

    First Derivative Traders, L.P.

    2009-05-19

    PHLX

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    Market Street Securities, Inc.

    2009-05-19

    PHLX

    2009-08

    Group One Trading, L.P.

    2009-05-19

    PHLX

    2009-07

    Susquehanna Investment Group
    2009-04-09 PHLX 2009-06 Gradient Trading, LLC
    2009-03-20 PHLX 2009-02 D&D Securities, Inc.
    2009-03-20 PHLX 2009-04 J.A.K. Securities, Inc.
    2009-03-17 PHLX 2009-05 Madison Proprietary Trading Group, LLC
    2009-03-16 PHLX 2009-03 DSX, Inc.