GEMX Disciplinary Actions
2024
| Enforcement No. |
Title |
Date |
| No. 2022074101002 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2022074101002,
Morgan Stanley & Co. LLC |
10/31/2024 |
| No. 2020067485608 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020067485608,
BofA Securities, Inc. |
4/30/2024 |
2023
| Enforcement No. |
Title |
Date |
N0. 2017056214410 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017056214410,
Jefferies LLC |
12/12/2023 |
2022
| Enforcement No. |
Title |
Date |
| No. 20180580170-02 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20180580170-02,
Global Execution Brokers, LP |
9/23/2022 |
| No. 2019061065702 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061065702,
Jefferies LLC |
8/23/2022 |
| No. 2019.12.0089 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.12.0089,
Wolverine Trading, LLC |
7/12/2022 |
| No. 2018060117904 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018060117904,
Dash Financial Technologies LLC |
5/16/2022 |
2021
| Enforcement No. |
Title |
Date |
| No. 2015046278308 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015046278308,
Citadel Securities LLC |
12/27/2021 |
2020
| Enforcement No. |
Title |
Date |
There are no notices to display for this time period.
2019
| Enforcement No. |
Title |
Date |
There are no notices to display for this time period.
2018
| Enforcement No. |
Title |
Date |
| No. 20140411279-06 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140411279-06,
Merrill Lynch, Pierce, Fenner & Smith Inc. |
9/26/2018 |
| No. 20170539365 |
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20170539365,
BGC Financial, L.P. |
9/14/2018 |
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