BATS Options | Disciplinary Actions (BZX)

Disciplinary Actions

Enforcement No.	Title	Date
No. 20100219348	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100219348, Credit Suisse Securities (USA), LLC	05/14/2013
No. 20100214899	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100214899, IMC-Chicago, LLC (dba IMC Financial Markets)	04/23/2013
No. 20090170026 & 20100216049	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090170026 & 20100216049, Wedbush Securities, Inc.	04/02/2013
No. 20100215963	Notice of Acceptance, Waiver and Consent No. 20100215963, Morgan Stanley & Co., LLC	01/02/2013

Enforcement No.	Title	Date
No. 20100243992	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100243992, Hold Brothers Online Investment Services, LLC	10/22/2012
No. 2010022913903	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2010022913903, Title Securities, Inc.	10/17/2012
No. 20100826	Notice of Acceptance of Letter of Acceptance, Waiver & Consent No. 20100826, Goldman, Sachs and Co.	09/21/2012
No. 20100222215-01	Notice of Acceptance of Letter of Acceptance, Waiver & Consent No. 20100222215-01, Biremis Corp. and Peter Beck	07/30/2012
No. 20110709	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110709, Wedbush Securities Inc.	06/20/2012
No. 20100001	Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100001, Interactive Brokers LLC.	06/20/2012
No. 20090210825-03	Disciplinary Proceeding No. 20090210825-03, Genesis Securities, LLC and William C. Yeh	05/14/2012