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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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CBOE Disciplinary Actions for December – Ranging Up to $2.3Mn
January 15, 2017
- 12/30/16: LiquidPoint (DISMISSED)
- 12/30/16: Equitec Trading (DISMISSED)
- 12/30/16: Liquid Capital Markets (DISMISSED)
- 12/30/16: DRO WST Trading (DISMISSED)
- 12/30/16: CTC XS (DISMISSED)
- 12/30/16: Associated Options (DISMISSED)
- 12/30/16: Automated Trading Desk Fincl Svcs ($625K)
- 12/29/16: JPMorgan Clearing Corp. ($2.3 Million)
- 12/29/16: Marathon Trading Group ($75K)
- 12/29/16: Merrill Lynch, Pierce, Fenner & Smith ($7.5K)
- 12/29/16: Belvedere Trading ($10K)
- 12/29/16: Electronic Transaction Clearing ($150K)
- 12/15/16: Lime Brokerage ($90K)
- 12/08/16: Merrill Lynch, Pierce, Fenner & Smith ($35K)
