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"name" : "Lightspeed Financial Services Group LLC (fka Lime Brokerage LLC)",
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"market" : "NYSE Arca",
"fileLink" : "Lightspeed Financial Services Group LLC (fka Lime Brokerage LLC)",
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"name" : "RBC Capital Markets, LLC",
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"market" : "NYSE Texas",
"fileLink" : "RBC Capital Markets, LLC",
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"name" : "RBC CMA LLC",
"number" : "2022-03-17-00038",
"decisionAcceptanceDate" : "2023-05-24",
"market" : "NYSE Arca",
"fileLink" : "RBC CMA LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2023/CMA_NYSE_Arca_AWC_(2022-03-17-00038)_Executed_AWC_with_MOPC.pdf"
}, {
"name" : "RBC Capital Markets, LLC",
"number" : "2022-03-17-00037",
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"market" : "NYSE",
"fileLink" : "RBC Capital Markets, LLC",
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"name" : "RBC Capital Markets, LLC",
"number" : "2022-03-17-00037",
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"market" : "NYSE National",
"fileLink" : "RBC Capital Markets, LLC",
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"name" : "RBC Capital Markets, LLC",
"number" : "2022-03-17-00037",
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"market" : "NYSE Arca",
"fileLink" : "RBC Capital Markets, LLC",
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}, {
"name" : "Glendale Securities, Inc.",
"number" : "2022-03-10-00001",
"decisionAcceptanceDate" : "2023-04-17",
"market" : "NYSE Arca",
"fileLink" : "Glendale Securities, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2023/Glendale_AWC_(executed_4.17.23).pdf"
}, {
"name" : "GTS Securities LLC, Yaron Katz, and Jinglei Zhou",
"number" : "2017-06-00049 & 2020-06-00091",
"decisionAcceptanceDate" : "2023-04-13",
"market" : "NYSE",
"fileLink" : "GTS Securities LLC, Yaron Katz, and Jinglei Zhou",
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}, {
"name" : "GTS Securities LLC, Yaron Katz, and Jinglei Zhou",
"number" : "2019-07-00023",
"decisionAcceptanceDate" : "2023-04-13",
"market" : "NYSE Arca",
"fileLink" : "GTS Securities LLC, Yaron Katz, and Jinglei Zhou",
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"name" : "Interactive Brokers LLC",
"number" : "2021-05-05-00038",
"decisionAcceptanceDate" : "2023-03-23",
"market" : "NYSE Arca",
"fileLink" : "Interactive Brokers LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2023/Interactive_Brokers_AWC_(executed_3.23.2023).pdf"
}, {
"name" : "Goldman Sachs & Co. LLC",
"number" : "2018059146505",
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"market" : "NYSE American",
"fileLink" : "Goldman Sachs & Co. LLC",
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}, {
"name" : "Goldman Sachs & Co. LLC",
"number" : "2018059146506",
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"market" : "NYSE Arca",
"fileLink" : "Goldman Sachs & Co. LLC",
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"name" : "J.P. Morgan Securities, LLC",
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"market" : "NYSE American",
"fileLink" : "J.P. Morgan Securities, LLC",
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"name" : "Goldman Sachs & Co. LLC",
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"market" : "NYSE",
"fileLink" : "Goldman Sachs & Co. LLC",
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"name" : "J.P. Morgan Securities, LLC",
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"market" : "NYSE Arca",
"fileLink" : "J.P. Morgan Securities, LLC",
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"name" : "Citigroup Global Markets Inc.",
"number" : "2022-06-30-00019",
"decisionAcceptanceDate" : "2023-03-14",
"market" : "NYSE American",
"fileLink" : "Citigroup Global Markets Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2023/CGMI_Executed_AWC_with_Signature.pdf"
}, {
"name" : "Oppenheimer & Co., Inc.",
"number" : "2022-05-13-00029",
"decisionAcceptanceDate" : "2023-03-13",
"market" : "NYSE Arca",
"fileLink" : "Oppenheimer & Co., Inc.",
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"name" : "Susquehanna Securities, LLC",
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"market" : "NYSE Arca",
"fileLink" : "Susquehanna Securities, LLC",
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"name" : "Susquehanna Securities, LLC",
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"market" : "NYSE American",
"fileLink" : "Susquehanna Securities, LLC",
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"name" : "Maxim Group, LLC",
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"decisionAcceptanceDate" : "2023-02-27",
"market" : "NYSE Arca",
"fileLink" : "Maxim Group, LLC",
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}, {
"name" : "Livermore Trading Group, Inc.",
"number" : "2022-05-13-00048",
"decisionAcceptanceDate" : "2023-02-03",
"market" : "NYSE",
"fileLink" : "Livermore Trading Group, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2023/Livermore_Matter_No._2022-05-13-00048_AWC.pdf"
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"name" : "Wedbush Securities Inc.",
"number" : "2017054491010",
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"market" : "NYSE Arca",
"fileLink" : "Wedbush Securities Inc.",
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"name" : "Wedbush Securities Inc.",
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"market" : "NYSE",
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"market" : "NYSE Arca",
"fileLink" : "SVB Securities LLC",
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"name" : "Raymond James & Associates, Inc.",
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"market" : "NYSE American",
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"name" : "CODA Markets, Inc.",
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"market" : "NYSE Arca",
"fileLink" : "CODA Markets, Inc.",
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"decisionAcceptanceDate" : "2022-11-17",
"market" : "NYSE Arca",
"fileLink" : "BofA Securities, Inc.",
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"name" : "BofA Securities, Inc.",
"number" : "2022-03-17-00039",
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"market" : "NYSE",
"fileLink" : "BofA Securities, Inc.",
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"name" : "JP Derivatives, LLC",
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"decisionAcceptanceDate" : "2022-11-14",
"market" : "NYSE American",
"fileLink" : "JP Derivatives, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2022/2022.11.14_JP_Derivatives_AWC_(executed).pdf"
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"name" : "Barclays Capital Inc.",
"number" : "2018059263501",
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"market" : "NYSE Arca",
"fileLink" : "Barclays Capital Inc.",
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"name" : "Interactive Brokers LLC",
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"market" : "NYSE American",
"fileLink" : "Interactive Brokers LLC",
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"market" : "NYSE Arca",
"fileLink" : "Interactive Brokers LLC",
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"name" : "Apex Clearing Corporation",
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"market" : "NYSE American",
"fileLink" : "Apex Clearing Corporation",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2022/Final_Apex_Matter_No._2022-04-26-00001_Final_Executed_AWCR.pdf"
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"name" : "Wedbush Securities, Inc.,",
"number" : "2018059467804",
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"market" : "NYSE Texas",
"fileLink" : "Wedbush Securities, Inc.,",
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"name" : "Morgan Stanley & Co. LLC",
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"market" : "NYSE Texas",
"fileLink" : "Morgan Stanley & Co. LLC",
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"name" : "Dash Financial Technologies, LLC",
"number" : "2019-08-00147",
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"market" : "NYSE American",
"fileLink" : "Dash Financial Technologies, LLC",
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"name" : "Wedbush Securities, Inc.,",
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"market" : "NYSE",
"fileLink" : "Wedbush Securities, Inc.,",
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"name" : "Wedbush Securities, Inc.,",
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"market" : "NYSE American",
"fileLink" : "Wedbush Securities, Inc.,",
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"name" : "Wedbush Securities, Inc.,",
"number" : "2018059467803",
"decisionAcceptanceDate" : "2022-09-15",
"market" : "NYSE National",
"fileLink" : "Wedbush Securities, Inc.,",
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"name" : "Morgan Stanley & Co. LLC",
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"market" : "NYSE American",
"fileLink" : "Morgan Stanley & Co. LLC",
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"name" : "Morgan Stanley & Co. LLC",
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"decisionAcceptanceDate" : "2022-09-12",
"market" : "NYSE Arca",
"fileLink" : "Morgan Stanley & Co. LLC",
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"name" : "Morgan Stanley & Co. LLC",
"number" : "2018056929902",
"decisionAcceptanceDate" : "2022-09-12",
"market" : "NYSE",
"fileLink" : "Morgan Stanley & Co. LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2022/RMSCO_-_20180569299_-_NYSE_AWC.pdf"
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"name" : "Morgan Stanley & Co. LLC",
"number" : "2018056929906",
"decisionAcceptanceDate" : "2022-09-12",
"market" : "NYSE National",
"fileLink" : "Morgan Stanley & Co. LLC",
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"name" : "Casey Securities LLC",
"number" : "2021-03-05-00064",
"decisionAcceptanceDate" : "2022-09-09",
"market" : "NYSE Arca",
"fileLink" : "Casey Securities LLC",
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"name" : "UBS Securities LLC",
"number" : "2017053779202",
"decisionAcceptanceDate" : "2022-09-07",
"market" : "NYSE American",
"fileLink" : "UBS Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2022/RUBS_NYSE_American_AWC_2017053779202.pdf"
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"fileLink" : "Piper Sandler & Co. (f/k/a Sandler O'Neill & Partners, L.P.)",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2021/Piper_Sandler_NYSE_American_AWC_(final)M.pdf"
}, {
"name" : "CODA Markets. Inc. (f/k/a PDQ ATS, Inc.)",
"number" : "2015044078205",
"decisionAcceptanceDate" : "2021-07-09",
"market" : "NYSE Arca",
"fileLink" : "CODA Markets. Inc. (f/k/a PDQ ATS, Inc.)",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2021/NYSE Arca (accepted by FINRA) CODA Markets 2015044078205.pdf"
}, {
"name" : "CTC, LLC",
"number" : "2019061058203",
"decisionAcceptanceDate" : "2021-07-02",
"market" : "NYSE American",
"fileLink" : "CTC, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2021/CTC, LLC 20190610582 - NYSE American.pdf"
}, {
"name" : "RBC Capital Markets LLC",
"number" : "2020-04-00115",
"decisionAcceptanceDate" : "2021-06-23",
"market" : "NYSE",
"fileLink" : "RBC Capital Markets LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2021/RBCCM AWC 06.23.21 FINAL FULLY EXECUTED.pdf"
}, {
"name" : "Oppenheimer & Co., Inc.",
"number" : "2019-12-00063 & 2020-10-00112",
"decisionAcceptanceDate" : "2021-06-11",
"market" : "NYSE American",
"fileLink" : "Oppenheimer & Co., Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2021/Opco_AWC_executed.pdf"
}, {
"name" : "Clearpool Execution Services, LLC",
"number" : "2016048613102",
"decisionAcceptanceDate" : "2021-06-04",
"market" : "NYSE Arca",
"fileLink" : "Clearpool Execution Services, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2021/Clearpool_NYSE Arca AWC_2016048613102r.pdf"
}, {
"name" : "Jones Trading Institutional Services LLC",
"number" : "2019-06-00003",
"decisionAcceptanceDate" : "2021-05-14",
"market" : "NYSE Arca",
"fileLink" : "Jones Trading Institutional Services LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2021/JonesTrading - AWC (2019-06-00003) (fully executed).pdf"
}, {
"name" : "Wolverine Execution Services, LLC",
"number" : "20180571661-03",
"decisionAcceptanceDate" : "2021-05-07",
"market" : "NYSE Arca",
"fileLink" : "Wolverine Execution Services, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2021/NYSE Arca AWC - Wolverine 20180571661 (004).pdf"
}, {
"name" : "Citigroup Global Markets Inc.",
"number" : "2020-11-24-00034",
"decisionAcceptanceDate" : "2021-04-27",
"market" : "NYSE",
"fileLink" : "Citigroup Global Markets Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2021/2021.04.27 Citi (2020-11-24-00034)(fully executed).pdf"
}, {
"name" : "Barclays Capital Inc.",
"number" : "2016051325703",
"decisionAcceptanceDate" : "2021-04-21",
"market" : "NYSE American",
"fileLink" : "Barclays Capital Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2021/Barclays_NYSE_American_AWC_Final.pdf"
}, {
"name" : "Barclays Capital Inc.",
"number" : "2016051325704",
"decisionAcceptanceDate" : "2021-04-21",
"market" : "NYSE Arca",
"fileLink" : "Barclays Capital Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2021/Barclays_NYSE_Arca_AWC_Final.pdf"
}, {
"name" : "Brendan E. Cryan and Company, LLC",
"number" : "2020-08-00101",
"decisionAcceptanceDate" : "2021-04-20",
"market" : "NYSE American",
"fileLink" : "Brendan E. Cryan and Company, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2021/Brendan E. Cryan and Company LLC - AWC - Fully Executed.pdf"
}, {
"name" : "Sea Otter Securities Group LLC",
"number" : "2020-02-00082 & 2020-09-00076",
"decisionAcceptanceDate" : "2021-04-13",
"market" : "NYSE Arca",
"fileLink" : "Sea Otter Securities Group LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2021/Sea Otter AWC Executed 4.13.21.pdf"
}, {
"name" : "Clear Street Markets, LLC",
"number" : "2020-04-00094 & 2020-08-00100",
"decisionAcceptanceDate" : "2021-04-08",
"market" : "NYSE Arca",
"fileLink" : "Clear Street Markets, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2021/Clear_Street_AWC -- final to CFR.pdf"
}, {
"name" : "Quattro M Securities Inc.",
"number" : "2020-03-00021",
"decisionAcceptanceDate" : "2021-03-18",
"market" : "NYSE",
"fileLink" : "Quattro M Securities Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2021/QMS AWC (Fully Executed).pdf"
}, {
"name" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
"number" : "2013038684002",
"decisionAcceptanceDate" : "2021-03-18",
"market" : "NYSE Arca",
"fileLink" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2021/MLPFS.NYSE.Arca.2013038684002.pdf"
}, {
"name" : "Trademas Inc.",
"number" : "2019-03-00012",
"decisionAcceptanceDate" : "2021-03-17",
"market" : "NYSE",
"fileLink" : "Trademas Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2021/Executed AWC -- Trademas Inc. -- No. 2019-03-00012.pdf"
}, {
"name" : "Rosenblatt Securities Inc.",
"number" : "2018-01-00044",
"decisionAcceptanceDate" : "2021-02-19",
"market" : "NYSE",
"fileLink" : "Rosenblatt Securities Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2021/Rosenblatt Matter No. 2018-01-00044 AWC final executed.pdf"
}, {
"name" : "Precision Securities, LLC",
"number" : "2017055591601",
"decisionAcceptanceDate" : "2021-01-22",
"market" : "NYSE Arca",
"fileLink" : "Precision Securities, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2021/Precision 2017055591601 NYSE Arca AWC.pdf"
}, {
"name" : "Keefe, Bruyette & Woods, Inc and Stifel Nicolaus & Company, Inc",
"number" : "2020-02-00064 & 2020-02-00065",
"decisionAcceptanceDate" : "2021-01-12",
"market" : "NYSE",
"fileLink" : "Keefe, Bruyette & Woods, Inc and Stifel Nicolaus & Company, Inc",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2021/Stifel KBW Executed AWC 1.12.21v2.pdf"
}, {
"name" : "Susquehanna Securities, LLC",
"number" : "2019062979101",
"decisionAcceptanceDate" : "2020-12-22",
"market" : "NYSE American",
"fileLink" : "Susquehanna Securities, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2020/Susquehanna_Securities_LLC 2019062979101_NYSE_American_AWC.pdf"
}, {
"name" : "Susquehanna Securities, LLC",
"number" : "2019062979102",
"decisionAcceptanceDate" : "2020-12-22",
"market" : "NYSE Arca",
"fileLink" : "Susquehanna Securities, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/Susquehanna_Securities_LLC 2019062979102_NYSE_Arca_AWC.pdf"
}, {
"name" : "Susquehanna Financial Group, LLLP and Global Execution Brokers, LP",
"number" : "2017-06-00062, 2017-10-00077, 2018-03-00051,and 2019-01-00011",
"decisionAcceptanceDate" : "2020-12-15",
"market" : "NYSE Arca",
"fileLink" : "Susquehanna Financial Group, LLLP and Global Execution Brokers, LP",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/SFG and GEB AWC final executed.pdf"
}, {
"name" : "Deutsche Bank Securities Inc.",
"number" : "2019-03-00110",
"decisionAcceptanceDate" : "2020-11-30",
"market" : "NYSE",
"fileLink" : "Deutsche Bank Securities Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2020/DBSI AWC (Executed 2020.11.30)_FINAL.pdf"
}, {
"name" : "Jones Trading Institutional Services LLC & Robert B. Zavell",
"number" : "2018-10-00065",
"decisionAcceptanceDate" : "2020-11-24",
"market" : "NYSE Arca",
"fileLink" : "Jones Trading Institutional Services LLC & Robert B. Zavell",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/JonesTrading AWC (Fully Executed).pdf"
}, {
"name" : "C&C Trading L.L.C.",
"number" : "2019-04-00049",
"decisionAcceptanceDate" : "2020-11-19",
"market" : "NYSE Arca",
"fileLink" : "C&C Trading L.L.C.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/CC AWC (Fully Executed).pdf"
}, {
"name" : "Merrill Lynch Professional Clearing Corp.",
"number" : "2020-05-00105",
"decisionAcceptanceDate" : "2020-11-17",
"market" : "NYSE American",
"fileLink" : "Merrill Lynch Professional Clearing Corp.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2020/ML LOPR AWC final executed.pdf"
}, {
"name" : "GTS Securities LLC",
"number" : "2019-12-00095",
"decisionAcceptanceDate" : "2020-11-13",
"market" : "NYSE",
"fileLink" : "GTS Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2020/AWC GTS (2019-12-00095) (Fully Executed) (FINAL).pdf"
}, {
"name" : "Livermore Trading Group, Inc.",
"number" : "2019-11-00087, 2020-06-00073",
"decisionAcceptanceDate" : "2020-11-13",
"market" : "NYSE",
"fileLink" : "Livermore Trading Group, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2020/Livermore AWC -- fully executed.PDF"
}, {
"name" : "De Paola Trading, Inc.",
"number" : "2019-05-00067, 2019-08-00055, 2019-08-00018, 2019-10-00080, 2020-04-00097, and 2020-06-00068",
"decisionAcceptanceDate" : "2020-11-06",
"market" : "NYSE American",
"fileLink" : "De Paola Trading, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2020/De Paola AWC (Final Executed Version 2020.11.06).pdf"
}, {
"name" : "Barclays Capital Inc.",
"number" : "2019-12-00042, 2019-07-00026",
"decisionAcceptanceDate" : "2020-11-02",
"market" : "NYSE",
"fileLink" : "Barclays Capital Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2020/Executed AWC - Barclays Capital Inc. - No. 2019-07-00026.pdf"
}, {
"name" : "Interactive Brokers LLC",
"number" : "2020-06-00085",
"decisionAcceptanceDate" : "2020-10-23",
"market" : "NYSE Arca",
"fileLink" : "Interactive Brokers LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/Execution Version - AWC IB (2020-06-00085).pdf"
}, {
"name" : "XR Securities, LLC",
"number" : "2019-03-00051",
"decisionAcceptanceDate" : "2020-09-30",
"market" : "NYSE American",
"fileLink" : "XR Securities, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2020/2019-03-00051 AWC (executed)M.pdf"
}, {
"name" : "BofA Securities, Inc.",
"number" : "2019-05-00077, 2019-12-00056",
"decisionAcceptanceDate" : "2020-09-28",
"market" : "NYSE",
"fileLink" : "BofA Securities, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2020/BofA Securities AWC (Fully Executed)M.pdf"
}, {
"name" : "Student Options, LLC",
"number" : "2018-10-00071, 2019-11-00056",
"decisionAcceptanceDate" : "2020-09-16",
"market" : "NYSE Arca",
"fileLink" : "Student Options, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/Student AWC (Fully Executed)M.pdf"
}, {
"name" : "Sea Otter Securities Group LLC",
"number" : "2019-06-00004, 2020-01-00075",
"decisionAcceptanceDate" : "2020-09-14",
"market" : "NYSE Arca",
"fileLink" : "Sea Otter Securities Group LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/Sea Otter AWC Nos. 2019-06-00004 2020-01-00075 (9.14.20 executed)M.pdf"
}, {
"name" : "Sanford C. Bernstein & Co, LLC",
"number" : "2018057171903",
"decisionAcceptanceDate" : "2020-08-12",
"market" : "NYSE American",
"fileLink" : "Sanford C. Bernstein & Co, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2020/SCBC 2018057171903 NYSE American AWC M.pdf"
}, {
"name" : "Sanford C. Bernstein & Co., LLC",
"number" : "2018057171904",
"decisionAcceptanceDate" : "2020-08-12",
"market" : "NYSE Arca",
"fileLink" : "Sanford C. Bernstein & Co., LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/SCBC 2018057171904 NYSE Arca AWC M.pdf"
}, {
"name" : "IMC-Chicago, LLC d/b/a IMC Financial Markets",
"number" : "2019-07-00029",
"decisionAcceptanceDate" : "2020-07-23",
"market" : "NYSE Arca",
"fileLink" : "IMC-Chicago, LLC d/b/a IMC Financial Markets",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/NYSE.AWC.2019-07-00029_SignedM.pdf"
}, {
"name" : "BNP Paribas Securities Corp.",
"number" : "2013037641203",
"decisionAcceptanceDate" : "2020-07-21",
"market" : "NYSE",
"fileLink" : "BNP Paribas Securities Corp.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2020/BNP_2013037641203_NYSE_AWC M.pdf"
}, {
"name" : "BNP Paribas Securities Corp.",
"number" : "2013037641202",
"decisionAcceptanceDate" : "2020-07-21",
"market" : "NYSE Arca",
"fileLink" : "BNP Paribas Securities Corp.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/BNP_2013037641202_NYSE_Arca_AWC M.pdf"
}, {
"name" : "Two Sigma Securities, LLC",
"number" : "20180596150-02",
"decisionAcceptanceDate" : "2020-07-09",
"market" : "NYSE Arca",
"fileLink" : "Two Sigma Securities, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/Two_Sigma_NYSE_Arca_AWC (fully executed)M.pdf"
}, {
"name" : "Two Sigma Securities, LLC",
"number" : "20180596150-03",
"decisionAcceptanceDate" : "2020-07-09",
"market" : "NYSE American",
"fileLink" : "Two Sigma Securities, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2020/Two_Sigma_NYSE_American_AWC (fully executed)M.pdf"
}, {
"name" : "BTIG, LLC",
"number" : "2018-02-00048",
"decisionAcceptanceDate" : "2020-06-26",
"market" : "NYSE Arca",
"fileLink" : "BTIG, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/AWC BTIG (2018-02-00048) (Executed) (003).pdf"
}, {
"name" : "Morgan Stanley & Co. LLC",
"number" : "2015044246305; 2017053508801",
"decisionAcceptanceDate" : "2020-06-08",
"market" : "NYSE Arca",
"fileLink" : "Morgan Stanley & Co. LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/Morgan_Stanley_NYSE_Arca_AWC_(20150442463_and_20170535088)(final) (3).pdf"
}, {
"name" : "Morgan Stanley & Co. LLC",
"number" : "2015044246306; 2017053508802",
"decisionAcceptanceDate" : "2020-06-08",
"market" : "NYSE American",
"fileLink" : "Morgan Stanley & Co. LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2020/Morgan_Stanley_NYSE_American_AWC_(20150442463_and_20170535088)(final) (3).pdf"
}, {
"name" : "Deutsche Bank Securities Inc.",
"number" : "2019-05-00003",
"decisionAcceptanceDate" : "2020-06-04",
"market" : "NYSE",
"fileLink" : "Deutsche Bank Securities Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2020/AWC DBSI (2019-05-00023)(Final).pdf"
}, {
"name" : "BCS Global Markets",
"number" : "2019-07-00082",
"decisionAcceptanceDate" : "2020-06-02",
"market" : "NYSE",
"fileLink" : "BCS Global Markets",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2020/BCS 2019-07-00082 AWC (Final).pdf"
}, {
"name" : "Douglas A. Sanzone",
"number" : "20150457555-14",
"decisionAcceptanceDate" : "2020-05-27",
"market" : "NYSE Arca",
"fileLink" : "Douglas A. Sanzone",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/Sanzone NYSE Arca AWC 2015045755514.pdf"
}, {
"name" : "John Grifonetti",
"number" : "20150457555-05",
"decisionAcceptanceDate" : "2020-05-27",
"market" : "NYSE Arca",
"fileLink" : "John Grifonetti",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/Grifonetti NYSE Arca AWC 2015045755505 (Final).pdf"
}, {
"name" : "Nomura Securities International, Inc.",
"number" : "20170531315-02",
"decisionAcceptanceDate" : "2020-05-26",
"market" : "NYSE American",
"fileLink" : "Nomura Securities International, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2020/Nomura Securities NYSE American AWC 05.26.20 (2017053131502) (Final).pdf"
}, {
"name" : "Nomura Securities International, Inc.",
"number" : "20170531315-03",
"decisionAcceptanceDate" : "2020-05-26",
"market" : "NYSE Arca",
"fileLink" : "Nomura Securities International, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/Nomura Securities NYSE Arca AWC 05.26.20 (2017053131503) (Final).pdf"
}, {
"name" : "Goldman Sachs & Co. LLC",
"number" : "2019-08-00125",
"decisionAcceptanceDate" : "2020-05-20",
"market" : "NYSE Arca",
"fileLink" : "Goldman Sachs & Co. LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/Goldman_ 2019-08-00125 AWC (Final).pdf"
}, {
"name" : "X-Change Financial Access, LLC",
"number" : "2018-07-00036; 2018-11-00038; 2019-09-00122",
"decisionAcceptanceDate" : "2020-05-12",
"market" : "NYSE Arca",
"fileLink" : "X-Change Financial Access, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/X-Change AWC No. 2018-07-00036 (Final).pdf"
}, {
"name" : "Barclays Capital, Inc.",
"number" : "2019-01-00015",
"decisionAcceptanceDate" : "2020-04-30",
"market" : "NYSE",
"fileLink" : "Barclays Capital, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2020/2020.04.30 AWC 2019-01-00015 (BCI) (Final).pdf"
}, {
"name" : "Charles Schwab & Co., Inc.",
"number" : "20150449181-02",
"decisionAcceptanceDate" : "2020-04-29",
"market" : "NYSE Arca",
"fileLink" : "Charles Schwab & Co., Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/Schwab 2015044918102 NYSE Arca AWC (Final).pdf"
}, {
"name" : "Morgan Stanley & Co. LLC",
"number" : "20150483293-05",
"decisionAcceptanceDate" : "2020-04-24",
"market" : "NYSE Arca",
"fileLink" : "Morgan Stanley & Co. LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/Morgan Stanley NYSE Arca AWC (2015048329305) (Final).pdf"
}, {
"name" : "Morgan Stanley & Co. LLC",
"number" : "20150483293-04",
"decisionAcceptanceDate" : "2020-04-24",
"market" : "NYSE American",
"fileLink" : "Morgan Stanley & Co. LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2020/Morgan Stanley NYSE American AWC (2015048329304) (Final).pdf"
}, {
"name" : "Citigroup Global Markets Inc.",
"number" : "2017-11-00111",
"decisionAcceptanceDate" : "2020-04-16",
"market" : "NYSE American",
"fileLink" : "Citigroup Global Markets Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2020/Citigroup No. 2017-11-00111 AWC (Final).pdf"
}, {
"name" : "UBS Securities LLC",
"number" : "2017-04-00071",
"decisionAcceptanceDate" : "2020-04-09",
"market" : "NYSE Arca",
"fileLink" : "UBS Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/UBS AWC 2017-04-00071 (Final).pdf"
}, {
"name" : "Bay Crest Partners, LLC",
"number" : "20170530827-04",
"decisionAcceptanceDate" : "2020-03-05",
"market" : "NYSE American",
"fileLink" : "Bay Crest Partners, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2020/BAYC 20170530827-04 NYSE American AWC (Final).pdf"
}, {
"name" : "ConvergEx Execution Solutions LLC & Cowen Execution Services LLC",
"number" : "2019-05-00023",
"decisionAcceptanceDate" : "2020-03-05",
"market" : "NYSE",
"fileLink" : "ConvergEx Execution Solutions LLC & Cowen Execution Services LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2020/Cowen AWC (Final).pdf"
}, {
"name" : "Bay Crest Partners, LLC",
"number" : "20170530827-03",
"decisionAcceptanceDate" : "2020-03-05",
"market" : "NYSE",
"fileLink" : "Bay Crest Partners, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2020/BAYC 20170530827-03 NYSE AWC (Final).pdf"
}, {
"name" : "Cantor Fitzgerald & Co.",
"number" : "20150451635-02",
"decisionAcceptanceDate" : "2020-02-20",
"market" : "NYSE Arca",
"fileLink" : "Cantor Fitzgerald & Co.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2020/Cantor AWC 2015045163502.pdf"
}, {
"name" : "Virtu Financial BD LLC",
"number" : "2019-03-00040",
"decisionAcceptanceDate" : "2020-02-11",
"market" : "NYSE",
"fileLink" : "Virtu Financial BD LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2020/2020.02.11 Virtu-NYSE AWC - Executed.pdf"
}, {
"name" : "Cowen and Company",
"number" : "20170540013-01",
"decisionAcceptanceDate" : "2020-02-05",
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"market" : "NYSE Arca",
"fileLink" : "Wolverine Trading, LLC",
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"name" : "Prime Executions, Inc.",
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"market" : "NYSE",
"fileLink" : "Prime Executions, Inc.",
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"name" : "Newedge USA, LLC, n/k/a SG Americas Securities, LLC",
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"market" : "NYSE Arca",
"fileLink" : "Newedge USA, LLC, n/k/a SG Americas Securities, LLC",
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}, {
"name" : "James E. Coffey Securities, Inc.",
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"market" : "NYSE",
"fileLink" : "James E. Coffey Securities, Inc.",
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"name" : "SG Americas Securities, LLC",
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"market" : "NYSE",
"fileLink" : "SG Americas Securities, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2019/Final Executed AWC March 18 2019_Final.pdf"
}, {
"name" : "McCauley Securities, Ltd.",
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"market" : "NYSE",
"fileLink" : "McCauley Securities, Ltd.",
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}, {
"name" : "ITG Inc.",
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"market" : "NYSE",
"fileLink" : "ITG Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2019/Executed AWC -- ITG Inc. -- NYSE No. 2016-01-28-00002_Final.pdf"
}, {
"name" : "HRT Financial LLC",
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"market" : "NYSE American",
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"name" : "Lime Brokerage, LLC",
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}, {
"name" : "Cutler Group L.P.",
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"market" : "NYSE Arca",
"fileLink" : "Cutler Group L.P.",
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"name" : "Susquehanna Securities",
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}, {
"name" : "Peter Mancuso & Co., L.P.",
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"market" : "NYSE",
"fileLink" : "Peter Mancuso & Co., L.P.",
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"name" : "Lime Brokerage, LLC",
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}, {
"name" : "Lime Brokerage, LLC",
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}, {
"name" : "Edward W. Wedbush",
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"market" : "NYSE Arca",
"fileLink" : "Edward W. Wedbush",
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}, {
"name" : "Wedbush Securities Inc.",
"number" : "2016-07-01264; 2017-09-00039; 2018-03-00037",
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"market" : "NYSE Arca",
"fileLink" : "Wedbush Securities Inc.",
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}, {
"name" : "Susquehanna Securities",
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"market" : "NYSE American",
"fileLink" : "Susquehanna Securities",
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}, {
"name" : "Chardan Capital Markets LLC",
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"market" : "NYSE Arca",
"fileLink" : "Chardan Capital Markets LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/CHDN (NYSE Arca) 2015046871501 Decision.pdf"
}, {
"name" : "Barclays Capital, Inc.",
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"market" : "NYSE Arca",
"fileLink" : "Barclays Capital, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/Barclays Capital Inc. NYSE Arca 2017-05-00011 Decision.pdf"
}, {
"name" : "Summit Securities Group, LLC",
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"market" : "NYSE Arca",
"fileLink" : "Summit Securities Group, LLC",
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}, {
"name" : "Barclays Capital, Inc.",
"number" : "2017-07-00014",
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"market" : "NYSE Arca",
"fileLink" : "Barclays Capital, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/Barclays Capital Inc. NYSE Arca 2017-07-00014 Decision.pdf"
}, {
"name" : "Lek Securities Corporation",
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"market" : "NYSE American",
"fileLink" : "Lek Securities Corporation",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2018/LSCI (NYSE American) 2015045758303 AWC_final.pdf"
}, {
"name" : "Virtu Americas LLC",
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"market" : "NYSE Arca",
"fileLink" : "Virtu Americas LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/Virtu 2018-07-00053 Decision.pdf"
}, {
"name" : "Pundion LLC",
"number" : "2018-05-00060",
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"market" : "NYSE American",
"fileLink" : "Pundion LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2018/Pundion NYSE American AWC_final.PDF"
}, {
"name" : "Pundion LLC",
"number" : "2018-05-00060",
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"market" : "NYSE",
"fileLink" : "Pundion LLC",
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}, {
"name" : "Virtu Americas LLC",
"number" : "2017-05-00070 & 2018-07-00053",
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"market" : "NYSE",
"fileLink" : "Virtu Americas LLC",
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}, {
"name" : "KEVIN KEAN LODEWICK JR.",
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"market" : "NYSE",
"fileLink" : "KEVIN KEAN LODEWICK JR.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2018/Lodewick Order and OS.pdf"
}, {
"name" : "Clearpool Execution Services, LLC",
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"market" : "NYSE",
"fileLink" : "Clearpool Execution Services, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2018/Clearpool Execution Services AWC -- NYSE No. 2017-11-00120_final.pdf"
}, {
"name" : "Meridian Equity Partners, Inc.",
"number" : "2018-04-00047",
"decisionAcceptanceDate" : "2018-11-07",
"market" : "NYSE",
"fileLink" : "Meridian Equity Partners, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2018/Meridian AWC (Executed)_Final.pdf"
}, {
"name" : "Cobra Trading, Inc.",
"number" : "2017-10-00061",
"decisionAcceptanceDate" : "2018-11-01",
"market" : "NYSE Arca",
"fileLink" : "Cobra Trading, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/2017-10-00061-Hearing Decision-20181105.pdf"
}, {
"name" : "Credit Suisse Securities (USA) LLC",
"number" : "2017-05-00036",
"decisionAcceptanceDate" : "2018-10-26",
"market" : "NYSE",
"fileLink" : "Credit Suisse Securities (USA) LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2018/CSSU AWC.pdf"
}, {
"name" : "IMC Financial Markets",
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"market" : "NYSE Arca",
"fileLink" : "IMC Financial Markets",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/IMCC (NYSE Arca) 20150468012-01 Decision.pdf"
}, {
"name" : "Raymond James & Associates, Inc.",
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"market" : "NYSE",
"fileLink" : "Raymond James & Associates, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2018/Raymond James Associates AWC No 2016-07-01067 final.pdf"
}, {
"name" : "Quattro M Securities Inc., et al.",
"number" : "2016-07-01288; 2018-06-00079",
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"market" : "NYSE",
"fileLink" : "Quattro M Securities Inc., et al.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2018/Quattro Order Offer.pdf"
}, {
"name" : "Morgan Stanley & Co.LLC",
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"market" : "NYSE Arca",
"fileLink" : "Morgan Stanley & Co.LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/MSCO 20140430991 (Arca) Decision.pdf"
}, {
"name" : "Benjamin A. Rosenfeld and Daniel T. Thaler",
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"market" : "NYSE American",
"fileLink" : "Benjamin A. Rosenfeld and Daniel T. Thaler",
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"name" : "MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED",
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"market" : "NYSE Arca",
"fileLink" : "MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/MLCO (Arca) Final Executed AWC 20140411279-01.pdf"
}, {
"name" : "BNP Paribas Securities Corp.",
"number" : "20150442313",
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"market" : "NYSE Arca",
"fileLink" : "BNP Paribas Securities Corp.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/BNPS (Arca) Decision.pdf"
}, {
"name" : "GTS Securities LLC",
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"market" : "NYSE Arca",
"fileLink" : "GTS Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/GTS (Arca) Decision.pdf"
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"name" : "IMC Financial Markets",
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"market" : "NYSE",
"fileLink" : "Morgan Stanley & Co., LLC",
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"name" : "KFM Securities,Inc.",
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"market" : "NYSE",
"fileLink" : "KFM Securities,Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2018/AWC-KFM.Fully Executed.pdf"
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"name" : "GTS Securities LLC",
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"fileLink" : "GTS Securities LLC",
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}, {
"name" : "Morgan Stanley & Co. LLC",
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"market" : "NYSE Arca",
"fileLink" : "Morgan Stanley & Co. LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/MS Offer -- NYSE Arca.pdf"
}, {
"name" : "Citadel Securities Inc.",
"number" : "2018-01-00105",
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"market" : "NYSE",
"fileLink" : "Citadel Securities Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2018/Citadel AWC -- for posting.pdf"
}, {
"name" : "Deutsche Bank Securities Inc.",
"number" : "2017-05-00037",
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"market" : "NYSE",
"fileLink" : "Deutsche Bank Securities Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2018/DBSI AWC -- for posting.pdf"
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"name" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
"number" : "20140411279-02",
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"market" : "NYSE American",
"fileLink" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
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}, {
"name" : "Simon Librati and SMF Trading,Inc., d/b/a World-Xecution Strategies",
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"market" : "NYSE Arca",
"fileLink" : "Simon Librati and SMF Trading,Inc., d/b/a World-Xecution Strategies",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/Librati - SMF (ARCA) Decision.pdf"
}, {
"name" : "BGC Financial, L.P.",
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"decisionAcceptanceDate" : "2018-08-13",
"market" : "NYSE Arca",
"fileLink" : "BGC Financial, L.P.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/BGCF (Arca) 20170539365 Decision.pdf"
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"fileLink" : "Maurice Elyezer Bensoussan",
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"name" : "Casey Securities, LLC and Daniel Randall",
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"market" : "NYSE Arca",
"fileLink" : "Casey Securities, LLC and Daniel Randall",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/Casey-Randall Arca Decision.pdf"
}, {
"name" : "Ann Louise Healy",
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"market" : "NYSE",
"fileLink" : "Ann Louise Healy",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2018/Healy AWC -- fully executed.pdf"
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"name" : "Simon Librati",
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"market" : "NYSE",
"fileLink" : "Simon Librati",
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"name" : "Simon Librati and SMF Trading, Inc., d/b/a World-Xecution Strategies",
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"fileLink" : "Simon Librati and SMF Trading, Inc., d/b/a World-Xecution Strategies",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2018/Simon Librati_World Xecution 2012031480714 NYSE American AWC_final.PDF"
}, {
"name" : "ING Financial Markets LLC",
"number" : "2017-03-00048",
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"market" : "NYSE",
"fileLink" : "ING Financial Markets LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2018/ING AWC -- fully executed.pdf"
}, {
"name" : "GTS Securities LLC",
"number" : "2018-02-00065",
"decisionAcceptanceDate" : "2018-08-02",
"market" : "NYSE",
"fileLink" : "GTS Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2018/GTS AWC -- for posting.pdf"
}, {
"name" : "Maurice Elyezer Bensoussan",
"number" : "20120314807-08",
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"market" : "NYSE American",
"fileLink" : "Maurice Elyezer Bensoussan",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2018/Maurice Bensoussan 2012031480708 NYSE American AWC.PDF"
}, {
"name" : "Maurice Elyezer Bensoussan",
"number" : "20120314807-10",
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"market" : "NYSE",
"fileLink" : "Maurice Elyezer Bensoussan",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2018/Maurice Bensoussan 2012031480710 NYSE AWC.PDF"
}, {
"name" : "FOG Equities LLC",
"number" : "D-2018-02",
"decisionAcceptanceDate" : "2018-07-23",
"market" : "NYSE Texas",
"fileLink" : "FOG Equities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2018/D-2018-02_FOG Equities LLC.pdf"
}, {
"name" : "Benjamin & Jerold Brokerage I, LLC",
"number" : "2016-11-00008",
"decisionAcceptanceDate" : "2018-06-29",
"market" : "NYSE",
"fileLink" : "Benjamin & Jerold Brokerage I, LLC",
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}, {
"name" : "Integral Derivatives, LLC and Williamn Fallon",
"number" : "2017-06-00087",
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"market" : "NYSE Arca",
"fileLink" : "Integral Derivatives, LLC and Williamn Fallon",
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}, {
"name" : "OTA LLC",
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"market" : "NYSE Arca",
"fileLink" : "OTA LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/OTA LLC 2017-02-00059 Decision.pdf"
}, {
"name" : "G&L Partners, Inc. & Daniel J. LePorin",
"number" : "2017-08-00058",
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"market" : "NYSE",
"fileLink" : "G&L Partners, Inc. & Daniel J. LePorin",
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}, {
"name" : "Morgan Stanley & Co. LLC",
"number" : "20120346239-02",
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"market" : "NYSE",
"fileLink" : "Morgan Stanley & Co. LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2018/MS AWC 2012034623902 NYSE.pdf"
}, {
"name" : "RBC Capital Markets",
"number" : "2016-10-00034",
"decisionAcceptanceDate" : "2018-05-25",
"market" : "NYSE Arca",
"fileLink" : "RBC Capital Markets",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/RBC 00034 (Arca) Decision.pdf"
}, {
"name" : "Sea Otter Securities Group LLC",
"number" : "2017-12-00050",
"decisionAcceptanceDate" : "2018-05-17",
"market" : "NYSE Arca",
"fileLink" : "Sea Otter Securities Group LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/Sea Otter (Arca) Decision.pdf"
}, {
"name" : "IMC Financial Markets",
"number" : "2017-06-00012",
"decisionAcceptanceDate" : "2018-05-15",
"market" : "NYSE Arca",
"fileLink" : "IMC Financial Markets",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/IMC Financial (Arca) Decision.pdf"
}, {
"name" : "Citadel Securities LLC",
"number" : "2016-05-00075",
"decisionAcceptanceDate" : "2018-05-15",
"market" : "NYSE Arca",
"fileLink" : "Citadel Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2018/Citadel 2016-05-00075 Decision.pdf"
}, {
"name" : "Raymond James & Associates, Inc.",
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"name" : "Matthew Craig Schinzel",
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"name" : "Saagar Gupta",
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"name" : "LEK Securities Corporation",
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"name" : "Merrill Lynch Professional Clearing Corp.",
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"name" : "Heights Partners, Inc.",
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"name" : "OCTEG, LLC (nka KCG Americas LLC)",
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"name" : "Jump Trading LLC",
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"name" : "J.P. Morgan Securities, LLC",
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"name" : "John Lapertosa",
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"name" : "Electronic Brokerage Systems, LLC (nka Dash Financial LLC)",
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"name" : "Stephen D. Holden",
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"name" : "Speed Trading Partners LLC and Joseph P Perry",
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"name" : "Citadel Securities LLC",
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"name" : "Barclays Capital Inc.",
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"name" : "RBC Capital Markets LLC",
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"name" : "Getco Securities LLC",
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"name" : "Nomura Securities International, Inc.",
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"name" : "Credit Suisse Securities (USA), LLC",
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"name" : "Hamilton Executions L.L.C.",
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"name" : "Patrick Thomas Ward",
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"name" : "DLB Securities, LLC and David L. Braunlich",
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"name" : "Barclays Capital Inc.",
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"name" : "Credit Suisse",
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"name" : "Chopper Securities LLC",
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"name" : "XR Securities LLC",
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"name" : "HAP Trading LLC and Harsh A. Padia",
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"name" : "William Blair & Company",
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"name" : "J P Morgan Securities LLC",
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"name" : "Goldman Sachs & Co.",
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"name" : "Cutler Group LP",
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"name" : "Casey Professional Services, LLC. K/N/A/ New Albion Partners",
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"name" : "Virtu Financial BD LLC",
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"name" : "Cutler Group LP",
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"name" : "Cutler Group LP",
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"name" : "Credit Suisse Securities LLC",
"number" : "20110307882-01",
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"name" : "Citigroup Global Markets Inc",
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"name" : "HRT Financial LLC",
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"name" : "Sun Trading LLC",
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"name" : "Dougall and Associates, Inc.",
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"market" : "NYSE Texas",
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"name" : "Citadel Securities LLC",
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"fileLink" : "Citadel Securities LLC",
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"name" : "Traditional Asiel Securities",
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"name" : "Essex Radez LLC",
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"fileLink" : "Essex Radez LLC",
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"name" : "Morgan Stanley & Co.",
"number" : "20130357135-01",
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"market" : "NYSE",
"fileLink" : "Morgan Stanley & Co.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/MSCO(NYSE)20130357135-01MRV.pdf"
}, {
"name" : "Tradestation Securities Inc.",
"number" : "13-NYSEMKT-6",
"decisionAcceptanceDate" : "2013-12-05",
"market" : "NYSE American",
"fileLink" : "Tradestation Securities Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2013/13-NYSEMKT-6TradestationSecuritiesIncDecision.pdf"
}, {
"name" : "Stock USA Execution Service Inc",
"number" : "13-ARCA-27",
"decisionAcceptanceDate" : "2013-11-22",
"market" : "NYSE Arca",
"fileLink" : "Stock USA Execution Service Inc",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-27StockUSAExecutionServicesDecision.pdf"
}, {
"name" : "Wedbush Securities",
"number" : "20120327429-01",
"decisionAcceptanceDate" : "2013-11-19",
"market" : "NYSE",
"fileLink" : "Wedbush Securities",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/WEDB (NYSE) 20120327429-01AWC.pdf"
}, {
"name" : "Tibra Trading America LLC",
"number" : "13-ARCA-26",
"decisionAcceptanceDate" : "2013-11-15",
"market" : "NYSE Arca",
"fileLink" : "Tibra Trading America LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-26TibraTrading AmericaLLCDecision.pdf"
}, {
"name" : "Bloom Securities and Jonathan E. Bloom",
"number" : "D-2013-03",
"decisionAcceptanceDate" : "2013-11-14",
"market" : "NYSE Texas",
"fileLink" : "Bloom Securities and Jonathan E. Bloom",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2013/D-2013-03_Bloom_Securities_Bloom.pdf"
}, {
"name" : "Natixis Securities Americas LLC",
"number" : "13-NYSEMKT-5",
"decisionAcceptanceDate" : "2013-11-14",
"market" : "NYSE American",
"fileLink" : "Natixis Securities Americas LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2013/13-NYSEMKT-5NatixisSecuritiesAmericaLLCDecision.pdf"
}, {
"name" : "Jane Street Capital LLC",
"number" : "13-ARCA-25",
"decisionAcceptanceDate" : "2013-11-14",
"market" : "NYSE Arca",
"fileLink" : "Jane Street Capital LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-25JaneStreetCapitalDecision.pdf"
}, {
"name" : "Interactive Brokers",
"number" : "20120315390-01",
"decisionAcceptanceDate" : "2013-11-11",
"market" : "NYSE",
"fileLink" : "Interactive Brokers",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/ibkr_nyse_20120315390-01_awc.pdf"
}, {
"name" : "BNP Paribas Securities Corp",
"number" : "13-ARCA-24",
"decisionAcceptanceDate" : "2013-11-04",
"market" : "NYSE Arca",
"fileLink" : "BNP Paribas Securities Corp",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-24BNPParibasSecuritiesCorpDecision.pdf"
}, {
"name" : "Barclays Capital",
"number" : "20120334360-01",
"decisionAcceptanceDate" : "2013-10-28",
"market" : "NYSE",
"fileLink" : "Barclays Capital",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/bcap_nyse_20120334360-01_awc.pdf"
}, {
"name" : "Jump Trading",
"number" : "20130354755-01",
"decisionAcceptanceDate" : "2013-10-25",
"market" : "NYSE",
"fileLink" : "Jump Trading",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/akam_nyse_20130354755-01_awc.pdf"
}, {
"name" : "G1 Execution Services, LLC (f/k/a E*Trade Capital Markets LLC)",
"number" : "D-2013-02",
"decisionAcceptanceDate" : "2013-10-18",
"market" : "NYSE Texas",
"fileLink" : "G1 Execution Services, LLC (f/k/a E*Trade Capital Markets LLC)",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2013/CHX-D-2013-02_G1_Execution.pdf"
}, {
"name" : "Lime Brokerage LLC",
"number" : "13-ARCA-23",
"decisionAcceptanceDate" : "2013-10-11",
"market" : "NYSE Arca",
"fileLink" : "Lime Brokerage LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-23LimeBrokerageLLCDecision.pdf"
}, {
"name" : "Citadel Securities LLC",
"number" : "12-ARCA-22",
"decisionAcceptanceDate" : "2013-10-08",
"market" : "NYSE Arca",
"fileLink" : "Citadel Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-22CitadelSecuritiesLLCDecision.pdf"
}, {
"name" : "SG Americas Securities",
"number" : "13-NYSEMKT-4",
"decisionAcceptanceDate" : "2013-09-23",
"market" : "NYSE American",
"fileLink" : "SG Americas Securities",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2013/13-NYSEMKT-4SGAmericasSecuritiesDecision.pdf"
}, {
"name" : "Daniel Randall",
"number" : "13-ARCA-20",
"decisionAcceptanceDate" : "2013-09-16",
"market" : "NYSE Arca",
"fileLink" : "Daniel Randall",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-ARCA-20DanielRandallSecuritiesDecision.pdf"
}, {
"name" : "George Gasparini",
"number" : "13-ARCA-21",
"decisionAcceptanceDate" : "2013-09-16",
"market" : "NYSE Arca",
"fileLink" : "George Gasparini",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-ARCA-21GeorgeGaspariniSecuritiesDecision.pdf"
}, {
"name" : "Casey Securties LLC",
"number" : "13-ARCA-19",
"decisionAcceptanceDate" : "2013-09-16",
"market" : "NYSE Arca",
"fileLink" : "Casey Securties LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-ARCA-19CaseySecuritiesDecision.pdf"
}, {
"name" : "Group One Trading L.P.",
"number" : "13-NYSEMKT-3",
"decisionAcceptanceDate" : "2013-08-20",
"market" : "NYSE American",
"fileLink" : "Group One Trading L.P.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2013/13-NYSEMKT-3GroupOneTradingLPDecision.pdf"
}, {
"name" : "Craig Reilly",
"number" : "13-NYSEMKT-2",
"decisionAcceptanceDate" : "2013-08-15",
"market" : "NYSE American",
"fileLink" : "Craig Reilly",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2013/13-NYSEMKT-2CraigReillyHearingBoardDecision.pdf"
}, {
"name" : "Barclays Capital Inc",
"number" : "20110283345",
"decisionAcceptanceDate" : "2013-08-07",
"market" : "NYSE",
"fileLink" : "Barclays Capital Inc",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-15BarclaysCapitalIncDecision.pdf"
}, {
"name" : "Jefferies Execution Service Inc",
"number" : "13-NYSE-14 - (20120327428)",
"decisionAcceptanceDate" : "2013-08-02",
"market" : "NYSE",
"fileLink" : "Jefferies Execution Service Inc",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-14JefferiesExecutionServicesDecision.pdf"
}, {
"name" : "Bluefin Trading LLC ETP Holder",
"number" : "13-ARCA-17",
"decisionAcceptanceDate" : "2013-07-11",
"market" : "NYSE Arca",
"fileLink" : "Bluefin Trading LLC ETP Holder",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-ARCA-17BluefinTradingLLCDecision.pdf"
}, {
"name" : "Goldman Sachs Execution & Clearing LP",
"number" : "13-NYSE-13 - (20110270431)",
"decisionAcceptanceDate" : "2013-07-08",
"market" : "NYSE",
"fileLink" : "Goldman Sachs Execution & Clearing LP",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-13GoldmanSachsExecutionClearingLLPDecision.pdf"
}, {
"name" : "Scott James Wetzel",
"number" : "13-NYSE-12 - (20120312310)",
"decisionAcceptanceDate" : "2013-07-03",
"market" : "NYSE",
"fileLink" : "Scott James Wetzel",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-12Scott JamesWetzelDecision.pdf"
}, {
"name" : "Knight Capital Americas LLC",
"number" : "13-NYSE-11 - (20100216351)",
"decisionAcceptanceDate" : "2013-07-01",
"market" : "NYSE",
"fileLink" : "Knight Capital Americas LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-11KnightCapitalAmericasHearingBoardDecision.pdf"
}, {
"name" : "NewEdge LLC",
"number" : "13-NYSE-10",
"decisionAcceptanceDate" : "2013-06-27",
"market" : "NYSE Arca",
"fileLink" : "NewEdge LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-ARCA-16NEWEDGEUSALLCDecision.pdf"
}, {
"name" : "Newedge USA, LLC",
"number" : "13-NYSE-10 - (201102701962)",
"decisionAcceptanceDate" : "2013-06-27",
"market" : "NYSE",
"fileLink" : "Newedge USA, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-10 Newedge Decision.pdf"
}, {
"name" : "Newedge USA LLC ETP Holder (The settlement with the NYSE will become final and conclusive on July 22, 2013, unless called for review pursuant to NYSE Disciplinary Rule 476(g)).",
"number" : "13-ARCA-16",
"decisionAcceptanceDate" : "2013-06-27",
"market" : "NYSE Arca",
"fileLink" : "Newedge USA LLC ETP Holder (The settlement with the NYSE will become final and conclusive on July 22, 2013, unless called for review pursuant to NYSE Disciplinary Rule 476(g)).",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-ARCA-16NEWEDGEUSALLCDecision.pdf"
}, {
"name" : "Murphy & Durieu ETP Holder",
"number" : "13-ARCA-15",
"decisionAcceptanceDate" : "2013-06-25",
"market" : "NYSE Arca",
"fileLink" : "Murphy & Durieu ETP Holder",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-ARCA-15Murphy&DurieuArcaDecision.pdf"
}, {
"name" : "Hardcastle Trading Usa LLC",
"number" : "13-ARCA-14",
"decisionAcceptanceDate" : "2013-06-21",
"market" : "NYSE Arca",
"fileLink" : "Hardcastle Trading Usa LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-14HardcastleTradingUsaLLCDecision.pdf"
}, {
"name" : "Raven Securities Corp",
"number" : "13-NYSE-7 - 20120325849",
"decisionAcceptanceDate" : "2013-06-14",
"market" : "NYSE",
"fileLink" : "Raven Securities Corp",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-7RavenCohenGilganDecision.pdf"
}, {
"name" : "Richard S. Cohen",
"number" : "13-NYSE-8 - 20120325849",
"decisionAcceptanceDate" : "2013-06-14",
"market" : "NYSE",
"fileLink" : "Richard S. Cohen",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-8RavenCohenGilganDecision.pdf"
}, {
"name" : "Brian C. Gilgan",
"number" : "13-NYSE-9 - 20120325849",
"decisionAcceptanceDate" : "2013-06-14",
"market" : "NYSE",
"fileLink" : "Brian C. Gilgan",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-9BrianCGilganDecision2.pdf"
}, {
"name" : "Sun Trading LLC",
"number" : "13-NYSE-6 - 20130362536",
"decisionAcceptanceDate" : "2013-06-06",
"market" : "NYSE",
"fileLink" : "Sun Trading LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-6SunTradingDecision.pdf"
}, {
"name" : "BNP Paribus Securities Corp",
"number" : "13-ARCA-13",
"decisionAcceptanceDate" : "2013-05-23",
"market" : "NYSE Arca",
"fileLink" : "BNP Paribus Securities Corp",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-13BNPParibasDecision.pdf"
}, {
"name" : "ITG Derivatives LLC",
"number" : "13-ARCA-12",
"decisionAcceptanceDate" : "2013-05-22",
"market" : "NYSE Arca",
"fileLink" : "ITG Derivatives LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-12ITGDerivativesDecision.pdf"
}, {
"name" : "Bluefin Trading LLC",
"number" : "13-ARCA-11",
"decisionAcceptanceDate" : "2013-05-10",
"market" : "NYSE Arca",
"fileLink" : "Bluefin Trading LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-ARCA-11BluefinTradingArcaDecision.pdf"
}, {
"name" : "Jefferies Execution Services Inc",
"number" : "13-NYSE-5 - (20120341809)",
"decisionAcceptanceDate" : "2013-05-08",
"market" : "NYSE",
"fileLink" : "Jefferies Execution Services Inc",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-5JefferiesExecNYSEDecision.pdf"
}, {
"name" : "IMC-Chicago LLC",
"number" : "13-ARCA-10",
"decisionAcceptanceDate" : "2013-04-26",
"market" : "NYSE Arca",
"fileLink" : "IMC-Chicago LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-10IMC-Chicago-Decision.pdf"
}, {
"name" : "Gray Whale Capital LLC",
"number" : "20100238967",
"decisionAcceptanceDate" : "2013-04-25",
"market" : "NYSE Arca",
"fileLink" : "Gray Whale Capital LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-9GrayWhaleCapitalDecision.pdf"
}, {
"name" : "Gray Whale Capital, LLC",
"number" : "20110278742",
"decisionAcceptanceDate" : "2013-04-25",
"market" : "NYSE Arca",
"fileLink" : "Gray Whale Capital, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-ARCA-09 Gray Whale - Decision.pdf"
}, {
"name" : "S. Kramer",
"number" : "13-ARCA-6",
"decisionAcceptanceDate" : "2013-04-15",
"market" : "NYSE Arca",
"fileLink" : "S. Kramer",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-6KramerDecision.pdf"
}, {
"name" : "Old Mission Capital, LLC",
"number" : "D-2013-01",
"decisionAcceptanceDate" : "2013-04-05",
"market" : "NYSE Texas",
"fileLink" : "Old Mission Capital, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2013/CHX-D-2013-01_Old_Mission.pdf"
}, {
"name" : "Barclays Capital Inc",
"number" : "20110270189",
"decisionAcceptanceDate" : "2013-04-04",
"market" : "NYSE",
"fileLink" : "Barclays Capital Inc",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-4Barclays Decision.pdf"
}, {
"name" : "Goldman Sachs Execution & Clearing L.P.",
"number" : "13-NYSEMKT-1",
"decisionAcceptanceDate" : "2013-03-19",
"market" : "NYSE American",
"fileLink" : "Goldman Sachs Execution & Clearing L.P.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2013/13-NYSEMKT-1GoldmanSachsExecutiveClearingLPDecision.pdf"
}, {
"name" : "W.J. Blum & Sons LLC",
"number" : "13-NYSE-3 - (20110270418 and 20120314360)",
"decisionAcceptanceDate" : "2013-03-07",
"market" : "NYSE",
"fileLink" : "W.J. Blum & Sons LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-3WJBS-StipAndConsent Decision.pdf"
}, {
"name" : "Nomura Securities",
"number" : "13-NYSE-2 - (20110270428)",
"decisionAcceptanceDate" : "2013-02-04",
"market" : "NYSE",
"fileLink" : "Nomura Securities",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-2Nomura SecuritiesHearing Board Decision.pdf"
}, {
"name" : "Crowell, Weedon & Co.",
"number" : "13-ARCA-2",
"decisionAcceptanceDate" : "2013-01-11",
"market" : "NYSE Arca",
"fileLink" : "Crowell, Weedon & Co.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/Crowell Weedon & Co. Decision.pdf"
}, {
"name" : "Fortis Clearing Americas LLC",
"number" : "13-NYSE-1 - (20100216351)",
"decisionAcceptanceDate" : "2013-01-07",
"market" : "NYSE",
"fileLink" : "Fortis Clearing Americas LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2013/13-NYSE-1FortisClearingDecision.pdf"
}, {
"name" : "Wedbush Securities, Inc.",
"number" : "13-ARCA-1",
"decisionAcceptanceDate" : "2013-01-02",
"market" : "NYSE Arca",
"fileLink" : "Wedbush Securities, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-1 Decision.pdf"
}, {
"name" : "McNamara Trading Company and Kevin McNamara",
"number" : "D-2012-03",
"decisionAcceptanceDate" : "2013-01-02",
"market" : "NYSE Texas",
"fileLink" : "McNamara Trading Company and Kevin McNamara",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2012/D-2012-03_McNamara_Signed_Order.pdf"
}, {
"name" : "Webush Securities, Inc.",
"number" : "20110275603",
"decisionAcceptanceDate" : "2013-01-02",
"market" : "NYSE Arca",
"fileLink" : "Webush Securities, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-01 Wedbush Securities - Hearing Board Decision.pdf"
}, {
"name" : "Belvedere Trading TIC",
"number" : "13-ARCA-3",
"decisionAcceptanceDate" : "2013-01-01",
"market" : "NYSE Arca",
"fileLink" : "Belvedere Trading TIC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca -3 BELVEDERE TRADING TIC - Hearing Board Decision.pdf"
}, {
"name" : "Pennmont Securities",
"number" : "13-ARCA-4",
"decisionAcceptanceDate" : "2013-01-01",
"market" : "NYSE Arca",
"fileLink" : "Pennmont Securities",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-ARCA-4PennMontCarapicoSnyderDecision.pdf"
}, {
"name" : "Walleye Trading LLC",
"number" : "13-ARCA-5",
"decisionAcceptanceDate" : "2013-01-01",
"market" : "NYSE Arca",
"fileLink" : "Walleye Trading LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-5WalleyeDecision.pdf"
}, {
"name" : "Volant Liquidity LLC",
"number" : "13-ARCA-7",
"decisionAcceptanceDate" : "2013-01-01",
"market" : "NYSE Arca",
"fileLink" : "Volant Liquidity LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-7VolantDecision.pdf"
}, {
"name" : "Credit Suisse Securities (USA) LLC",
"number" : "13-ARCA-8",
"decisionAcceptanceDate" : "2013-01-01",
"market" : "NYSE Arca",
"fileLink" : "Credit Suisse Securities (USA) LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2013/13-Arca-8CreditSuisseDecision.pdf"
}, {
"name" : "Sanford C. Berstein & Co. LLC",
"number" : "12-NYSEMKT-8 - (20110275555)",
"decisionAcceptanceDate" : "2012-12-07",
"market" : "NYSE American",
"fileLink" : "Sanford C. Berstein & Co. LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2012/Sanford C. Berstein & Co. - Decision.pdf"
}, {
"name" : " UBS Securities LLC",
"number" : "12-ARCA-13",
"decisionAcceptanceDate" : "2012-12-06",
"market" : "NYSE Arca",
"fileLink" : " UBS Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-ARCA-13 UBS Securities ARCA decision.pdf"
}, {
"name" : "Yury Bylina",
"number" : "12-ARCA-12",
"decisionAcceptanceDate" : "2012-11-26",
"market" : "NYSE Arca",
"fileLink" : "Yury Bylina",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-Arca-12 YURY BYLINA-Hearing Board Decision.pdf"
}, {
"name" : "Roberto Antonio Bueno ",
"number" : "12-ARCA-11",
"decisionAcceptanceDate" : "2012-11-09",
"market" : "NYSE Arca",
"fileLink" : "Roberto Antonio Bueno ",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-ARCA-11 ROBERTO ANTONIO BUENO-Hearing Board Decision.pdf"
}, {
"name" : "Brendan Cryan & Company, LLC",
"number" : "12-NYSEMKT-7 - (20110270424)",
"decisionAcceptanceDate" : "2012-10-17",
"market" : "NYSE American",
"fileLink" : "Brendan Cryan & Company, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2012/Brendan_E_Cryan_and_Company_Decision.pdf"
}, {
"name" : "Murphy & Durieu",
"number" : "12-NYSE-9 - (20110270062)",
"decisionAcceptanceDate" : "2012-10-15",
"market" : "NYSE",
"fileLink" : "Murphy & Durieu",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2012/12-NYSE-9.pdf"
}, {
"name" : "Hold Brothers Execution Services, LLC",
"number" : "12-NYSE-8-(20110270318, 20110270169, 20110297129)",
"decisionAcceptanceDate" : "2012-10-05",
"market" : "NYSE",
"fileLink" : "Hold Brothers Execution Services, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2012/12-NYSE-8.pdf"
}, {
"name" : "Title Securities, Inc.",
"number" : "12-ARCA-10",
"decisionAcceptanceDate" : "2012-10-01",
"market" : "NYSE Arca",
"fileLink" : "Title Securities, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-ARCA-10.pdf"
}, {
"name" : "Hold Brothers On-Line Investment Services, LLC",
"number" : "12-ARCA-9",
"decisionAcceptanceDate" : "2012-09-24",
"market" : "NYSE Arca",
"fileLink" : "Hold Brothers On-Line Investment Services, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-ARCA-9.pdf"
}, {
"name" : "Goldman, Sachs & Co.",
"number" : "12-NYSEMKT-6 (20100235041-01)",
"decisionAcceptanceDate" : "2012-09-20",
"market" : "NYSE American",
"fileLink" : "Goldman, Sachs & Co.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2012/12-NYSEMKT-6.pdf"
}, {
"name" : "Goldman, Sachs & Co.",
"number" : "12-ARCA-8",
"decisionAcceptanceDate" : "2012-09-20",
"market" : "NYSE Arca",
"fileLink" : "Goldman, Sachs & Co.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-ARCA-8.pdf"
}, {
"name" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
"number" : "12-NYSE-7 - (20110270034)",
"decisionAcceptanceDate" : "2012-09-13",
"market" : "NYSE",
"fileLink" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2012/12-NYSE-7.pdf"
}, {
"name" : "Morgan Stanley & Co. LLC",
"number" : "12-NYSEMKT-5 - (20110270171)",
"decisionAcceptanceDate" : "2012-08-10",
"market" : "NYSE American",
"fileLink" : "Morgan Stanley & Co. LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2012/12-NYSEMKT-5.pdf"
}, {
"name" : "Morgan Stanley & Co. LLC",
"number" : "12-NYSE-6 - (20110270171)",
"decisionAcceptanceDate" : "2012-08-10",
"market" : "NYSE",
"fileLink" : "Morgan Stanley & Co. LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2012/12-NYSE-6 12-NYSEMKT-5.pdf"
}, {
"name" : "Credit Suisse Securities (USA) LLC",
"number" : "12-ARCA-7",
"decisionAcceptanceDate" : "2012-08-03",
"market" : "NYSE Arca",
"fileLink" : "Credit Suisse Securities (USA) LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-arca-7.pdf"
}, {
"name" : "Biremis Corp. and Peter Beck",
"number" : "12-ARCA-6",
"decisionAcceptanceDate" : "2012-08-02",
"market" : "NYSE Arca",
"fileLink" : "Biremis Corp. and Peter Beck",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-ARCA-6.pdf"
}, {
"name" : "Goldman Sachs Execution & Clearing, L.P.",
"number" : "12-NYSE-5 - (20110270059)",
"decisionAcceptanceDate" : "2012-07-23",
"market" : "NYSE",
"fileLink" : "Goldman Sachs Execution & Clearing, L.P.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2012/12-NYSE-5.pdf"
}, {
"name" : "FOG Equities LLC",
"number" : "D-2012-02",
"decisionAcceptanceDate" : "2012-06-29",
"market" : "NYSE Texas",
"fileLink" : "FOG Equities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2012/FOG_Equities_LLC-Order_CHX-D-2012-02.pdf"
}, {
"name" : "Genesis Securities, LLC and William C. Yeh",
"number" : "12-ARCA-5",
"decisionAcceptanceDate" : "2012-06-06",
"market" : "NYSE Arca",
"fileLink" : "Genesis Securities, LLC and William C. Yeh",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-ARCA-5.pdf"
}, {
"name" : "X-Change Financial",
"number" : "D-2012-01",
"decisionAcceptanceDate" : "2012-05-23",
"market" : "NYSE Texas",
"fileLink" : "X-Change Financial",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2012/X-Change_Financial_Signed_Order_CHX-D-2012-01.pdf"
}, {
"name" : "Credit Suisse Securities (USA) LLC",
"number" : "12-AMEX-4",
"decisionAcceptanceDate" : "2012-05-14",
"market" : "NYSE American",
"fileLink" : "Credit Suisse Securities (USA) LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2012/12-AMEX-4.pdf"
}, {
"name" : "Electronic Brokerage Systems, LLC",
"number" : "12-NYSE-4 - (20110270289)",
"decisionAcceptanceDate" : "2012-05-01",
"market" : "NYSE",
"fileLink" : "Electronic Brokerage Systems, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2012/12-Arca-nyse-4.pdf"
}, {
"name" : "Electronic Brokerage Systems, LLC",
"number" : "12-ARCA-4",
"decisionAcceptanceDate" : "2012-05-01",
"market" : "NYSE Arca",
"fileLink" : "Electronic Brokerage Systems, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-ARCA-NYSE-4.pdf"
}, {
"name" : "Jefferies & Company, Inc.",
"number" : "12-ARCA-2",
"decisionAcceptanceDate" : "2012-04-24",
"market" : "NYSE Arca",
"fileLink" : "Jefferies & Company, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-ARCA-2.pdf"
}, {
"name" : "Virginia Atlee, Amy Beccone, Judith Busch, Elizabeth Atlee Carapico, Ceclilia Coraza, Mary Coraza, Joann Delpizzo Miller, Elaine English, James English Coraza, Peter English, Arland Friend, Judith Friend, Constance Atlee Johnston, William Johnston, Keke Kahn, Richard Kahn, David Miller, Anthony Montalbano, George Reiff, George Snyder, ETP Holder Limited Partners ",
"number" : "12-ARCA-3",
"decisionAcceptanceDate" : "2012-04-20",
"market" : "NYSE Arca",
"fileLink" : "Virginia Atlee, Amy Beccone, Judith Busch, Elizabeth Atlee Carapico, Ceclilia Coraza, Mary Coraza, Joann Delpizzo Miller, Elaine English, James English Coraza, Peter English, Arland Friend, Judith Friend, Constance Atlee Johnston, William Johnston, Keke Kahn, Richard Kahn, David Miller, Anthony Montalbano, George Reiff, George Snyder, ETP Holder Limited Partners ",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-ARCA-3.pdf"
}, {
"name" : "LEK Securities Corp",
"number" : "D-2011-05",
"decisionAcceptanceDate" : "2012-04-17",
"market" : "NYSE Texas",
"fileLink" : "LEK Securities Corp",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2011/Final_Order-In_the_Matter_of_Lek_Securities_Corp_CHX-D-2011-05.pdf"
}, {
"name" : "Amerivest Partners, LLC",
"number" : "12-AMEX-3 - (20110270111)",
"decisionAcceptanceDate" : "2012-04-16",
"market" : "NYSE American",
"fileLink" : "Amerivest Partners, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2012/12-AMEX-3.pdf"
}, {
"name" : "Goldman, Sachs & Co.",
"number" : "12-NYSE-3 - (20110270394)",
"decisionAcceptanceDate" : "2012-04-04",
"market" : "NYSE",
"fileLink" : "Goldman, Sachs & Co.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2012/12-NYSE-3.pdf"
}, {
"name" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
"number" : "12-AMEX-2 - (20110270295)",
"decisionAcceptanceDate" : "2012-03-29",
"market" : "NYSE American",
"fileLink" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2012/12-AMEX-2.pdf"
}, {
"name" : "BNY Convergex Execution Solutions, LLC",
"number" : "12-AMEX-1 - (20110270121)",
"decisionAcceptanceDate" : "2012-03-19",
"market" : "NYSE American",
"fileLink" : "BNY Convergex Execution Solutions, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2012/12-AMEX-1.pdf"
}, {
"name" : "Citigroup Global Markets, Inc. ",
"number" : "12-NYSE-2 - (20110270385)",
"decisionAcceptanceDate" : "2012-01-12",
"market" : "NYSE",
"fileLink" : "Citigroup Global Markets, Inc. ",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2012/12-NYSE-2.pdf"
}, {
"name" : "Goldman, Sachs & Co.",
"number" : "12-NYSE-1 (20110270256; 20110270345; 20110270250)",
"decisionAcceptanceDate" : "2012-01-09",
"market" : "NYSE",
"fileLink" : "Goldman, Sachs & Co.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2012/12-NYSE-1.pdf"
}, {
"name" : "Goldman, Sachs & Co.",
"number" : "12-ARCA-1",
"decisionAcceptanceDate" : "2012-01-09",
"market" : "NYSE Arca",
"fileLink" : "Goldman, Sachs & Co.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-ARCA-1.pdf"
}, {
"name" : "SIG Brokerage, LP",
"number" : "11-NYSE-9",
"decisionAcceptanceDate" : "2011-12-29",
"market" : "NYSE",
"fileLink" : "SIG Brokerage, LP",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2011/11-NYSE-9.pdf"
}, {
"name" : "Bluefin Trading, LLC and Bluefin Specialists, LLC ",
"number" : "11-ARCA-6 ",
"decisionAcceptanceDate" : "2011-12-28",
"market" : "NYSE Arca",
"fileLink" : "Bluefin Trading, LLC and Bluefin Specialists, LLC ",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2011/11-ARCA-6.pdf"
}, {
"name" : "HAP Trading, LLC",
"number" : "11-AMEX-10",
"decisionAcceptanceDate" : "2011-11-08",
"market" : "NYSE American",
"fileLink" : "HAP Trading, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2011/11-AMEX-10.pdf"
}, {
"name" : "KCCI, Ltd.",
"number" : "11-NYSE-8",
"decisionAcceptanceDate" : "2011-11-01",
"market" : "NYSE",
"fileLink" : "KCCI, Ltd.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2011/11-NYSE-8.pdf"
}, {
"name" : "Blue Point Secuities, Inc.",
"number" : "11-NYSE-7",
"decisionAcceptanceDate" : "2011-09-27",
"market" : "NYSE",
"fileLink" : "Blue Point Secuities, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2011/11-NYSE-7.pdf"
}, {
"name" : "Bank of America Specialist, Inc.",
"number" : "11-NYSE-6",
"decisionAcceptanceDate" : "2011-09-23",
"market" : "NYSE",
"fileLink" : "Bank of America Specialist, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2011/11-NYSE-6.pdf"
}, {
"name" : "Daniel Thaler",
"number" : "11-AMEX-9",
"decisionAcceptanceDate" : "2011-09-20",
"market" : "NYSE American",
"fileLink" : "Daniel Thaler",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2011/11-AMEX-9.pdf"
}, {
"name" : "Credit Suisse Securities (USA) LLC",
"number" : "11-NYSE-5",
"decisionAcceptanceDate" : "2011-09-14",
"market" : "NYSE",
"fileLink" : "Credit Suisse Securities (USA) LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2011/11-NYSE-5.pdf"
}, {
"name" : "J.P. Morgan Securities LLC",
"number" : "11-AMEX-8",
"decisionAcceptanceDate" : "2011-09-12",
"market" : "NYSE American",
"fileLink" : "J.P. Morgan Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2011/11-AMEX-8.pdf"
}, {
"name" : "Merrill Lynch, Pierce, Fenner & Smith, Inc.",
"number" : "11-AMEX-7",
"decisionAcceptanceDate" : "2011-09-12",
"market" : "NYSE American",
"fileLink" : "Merrill Lynch, Pierce, Fenner & Smith, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2011/11-AMEX-7.pdf"
}, {
"name" : "Michael Rushton ",
"number" : "11-AMEX-6",
"decisionAcceptanceDate" : "2011-09-06",
"market" : "NYSE American",
"fileLink" : "Michael Rushton ",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2011/11-AMEX-6.pdf"
}, {
"name" : "Jag Trading, LLC",
"number" : "D-2011-04",
"decisionAcceptanceDate" : "2011-08-19",
"market" : "NYSE Texas",
"fileLink" : "Jag Trading, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2011/CHX-D-2011-04_Final_Order_Jag_Trading.pdf"
}, {
"name" : "Cantor Fitzgerald & Co.",
"number" : "11-ARCA-5",
"decisionAcceptanceDate" : "2011-07-18",
"market" : "NYSE Arca",
"fileLink" : "Cantor Fitzgerald & Co.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2011/11-ARCA-5.pdf"
}, {
"name" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated ",
"number" : "11-ARCA-4",
"decisionAcceptanceDate" : "2011-07-12",
"market" : "NYSE Arca",
"fileLink" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated ",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2011/11-ARCA-4.pdf"
}, {
"name" : "LaBranche Structured Products and Harsh Padia",
"number" : "11-AMEX-5",
"decisionAcceptanceDate" : "2011-06-24",
"market" : "NYSE American",
"fileLink" : "LaBranche Structured Products and Harsh Padia",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2011/11-AMEX-5.pdf"
}, {
"name" : "McNamara Trading",
"number" : "D-2011-03",
"decisionAcceptanceDate" : "2011-06-20",
"market" : "NYSE Texas",
"fileLink" : "McNamara Trading",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2011/CHX-D-2011-03_McNamara_Trading.pdf"
}, {
"name" : "Penson Financial Services, Inc.",
"number" : "11-AMEX-4",
"decisionAcceptanceDate" : "2011-06-17",
"market" : "NYSE American",
"fileLink" : "Penson Financial Services, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2011/11-AMEX-4.pdf"
}, {
"name" : "Merrill Lynch Professional Clearing Corp.",
"number" : "11-AMEX-3",
"decisionAcceptanceDate" : "2011-06-17",
"market" : "NYSE American",
"fileLink" : "Merrill Lynch Professional Clearing Corp.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2011/11-AMEX-3.pdf"
}, {
"name" : "Lombardi & Co., Inc. ",
"number" : "11-NYSE-4",
"decisionAcceptanceDate" : "2011-05-25",
"market" : "NYSE",
"fileLink" : "Lombardi & Co., Inc. ",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2011/11-NYSE-4.pdf"
}, {
"name" : "SG Americas Securities, LLC",
"number" : "11-NYSE-3",
"decisionAcceptanceDate" : "2011-05-13",
"market" : "NYSE",
"fileLink" : "SG Americas Securities, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2011/11-NYSE-3.pdf"
}, {
"name" : "Andrew Garnock",
"number" : "11-AMEX-2",
"decisionAcceptanceDate" : "2011-04-19",
"market" : "NYSE American",
"fileLink" : "Andrew Garnock",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2011/11-AMEX-2.pdf"
}, {
"name" : "Deutsche Bank Securities Inc. ",
"number" : "11-AMEX-1",
"decisionAcceptanceDate" : "2011-04-01",
"market" : "NYSE American",
"fileLink" : "Deutsche Bank Securities Inc. ",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2011/11-AMEX-1.pdf"
}, {
"name" : "Sun Trading, LLC",
"number" : "D-2011-01",
"decisionAcceptanceDate" : "2011-03-28",
"market" : "NYSE Texas",
"fileLink" : "Sun Trading, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2011/CHX-D-2011-01_Sun_TradingLLC.pdf"
}, {
"name" : "Bengal Capital, LLC",
"number" : "D-2011-02",
"decisionAcceptanceDate" : "2011-03-15",
"market" : "NYSE Texas",
"fileLink" : "Bengal Capital, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2011/CHX-D-2011-02_Bengal Capital.pdf"
}, {
"name" : "Terra Nova Financial, LLC",
"number" : "11-ARCA-3",
"decisionAcceptanceDate" : "2011-02-14",
"market" : "NYSE Arca",
"fileLink" : "Terra Nova Financial, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2011/11-ARCA-3.pdf"
}, {
"name" : "UBS Securities LLC",
"number" : "11-NYSE-2",
"decisionAcceptanceDate" : "2011-02-02",
"market" : "NYSE",
"fileLink" : "UBS Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2011/11-NYSE-2.pdf"
}, {
"name" : "UBS Securities LLC",
"number" : "11-ARCA-2",
"decisionAcceptanceDate" : "2011-02-02",
"market" : "NYSE Arca",
"fileLink" : "UBS Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2011/11-ARCA-2.pdf"
}, {
"name" : "Keybanc Capital Markets Inc.",
"number" : "11-NYSE-1 - (20100251644)",
"decisionAcceptanceDate" : "2011-01-31",
"market" : "NYSE",
"fileLink" : "Keybanc Capital Markets Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2011/11-NYSE-1.pdf"
}, {
"name" : "Ray Michael Crown",
"number" : "11-ARCA-1",
"decisionAcceptanceDate" : "2011-01-25",
"market" : "NYSE Arca",
"fileLink" : "Ray Michael Crown",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2011/11-ARCA-1.pdf"
}, {
"name" : "David Skordal",
"number" : "10-AMEX-16",
"decisionAcceptanceDate" : "2010-12-28",
"market" : "NYSE American",
"fileLink" : "David Skordal",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-AMEX-16.pdf"
}, {
"name" : "Cutler Group L.P.",
"number" : "09-ARCA-12",
"decisionAcceptanceDate" : "2010-12-09",
"market" : "NYSE Arca",
"fileLink" : "Cutler Group L.P.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2010/09-ARCA-12.pdf"
}, {
"name" : "Marc Packles",
"number" : "10-NYSE-21",
"decisionAcceptanceDate" : "2010-12-09",
"market" : "NYSE",
"fileLink" : "Marc Packles",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-21.pdf"
}, {
"name" : "Citigroup Global Markets, Incorporated",
"number" : "10-NYSE-22",
"decisionAcceptanceDate" : "2010-12-09",
"market" : "NYSE",
"fileLink" : "Citigroup Global Markets, Incorporated",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-22.pdf"
}, {
"name" : "Brandon Yarckin",
"number" : "10-AMEX-13",
"decisionAcceptanceDate" : "2010-11-03",
"market" : "NYSE American",
"fileLink" : "Brandon Yarckin",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-amex-13.pdf"
}, {
"name" : "E*Trade Clearing LLC",
"number" : "10-NYSE-20",
"decisionAcceptanceDate" : "2010-11-03",
"market" : "NYSE",
"fileLink" : "E*Trade Clearing LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-20.pdf"
}, {
"name" : "Daniel Tosto",
"number" : "10-AMEX-14",
"decisionAcceptanceDate" : "2010-11-03",
"market" : "NYSE American",
"fileLink" : "Daniel Tosto",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-amex-14.pdf"
}, {
"name" : "Joseph W. McCaffrey",
"number" : "10-AMEX-15",
"decisionAcceptanceDate" : "2010-11-03",
"market" : "NYSE American",
"fileLink" : "Joseph W. McCaffrey",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-AMEX-15.pdf"
}, {
"name" : "Chapdelaine Brokerage LLC",
"number" : "10-AMEX-12",
"decisionAcceptanceDate" : "2010-09-22",
"market" : "NYSE American",
"fileLink" : "Chapdelaine Brokerage LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-AMEX-12.pdf"
}, {
"name" : "Credit Suisse Securities (USA) LLC",
"number" : "10-NYSE-19",
"decisionAcceptanceDate" : "2010-09-22",
"market" : "NYSE",
"fileLink" : "Credit Suisse Securities (USA) LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-nyse-19.pdf"
}, {
"name" : "E*TRADE Capital Markets LLC",
"number" : "D-10-02",
"decisionAcceptanceDate" : "2010-09-16",
"market" : "NYSE Texas",
"fileLink" : "E*TRADE Capital Markets LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2010/D-2010-02_E_TRADE_Capital_Markets_LLC.pdf"
}, {
"name" : "RBC Capital Markets Corporation",
"number" : "10-ARCA-02",
"decisionAcceptanceDate" : "2010-09-15",
"market" : "NYSE Arca",
"fileLink" : "RBC Capital Markets Corporation",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2010/10-ARCA-02.pdf"
}, {
"name" : "Donald K. Jang",
"number" : "10-AMEX-11",
"decisionAcceptanceDate" : "2010-09-14",
"market" : "NYSE American",
"fileLink" : "Donald K. Jang",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-AMEX-11.pdf"
}, {
"name" : "Philip Ferraro",
"number" : "10-AMEX-10",
"decisionAcceptanceDate" : "2010-09-13",
"market" : "NYSE American",
"fileLink" : "Philip Ferraro",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-amex-10.pdf"
}, {
"name" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
"number" : "10-NYSE-18",
"decisionAcceptanceDate" : "2010-09-13",
"market" : "NYSE",
"fileLink" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-18.pdf"
}, {
"name" : "Neil Kelly",
"number" : "10-NYSE-16",
"decisionAcceptanceDate" : "2010-08-18",
"market" : "NYSE",
"fileLink" : "Neil Kelly",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-16.pdf"
}, {
"name" : "Petruzzi Securities LLC",
"number" : "D-10-01",
"decisionAcceptanceDate" : "2010-08-11",
"market" : "NYSE Texas",
"fileLink" : "Petruzzi Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2010/D-2010-01-Petruzzi_Securities_LLC.pdf"
}, {
"name" : "Mark Hurant",
"number" : "10-NYSE-15",
"decisionAcceptanceDate" : "2010-06-16",
"market" : "NYSE",
"fileLink" : "Mark Hurant",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-15.pdf"
}, {
"name" : "Cohen Capital Group",
"number" : "10-AMEX-09",
"decisionAcceptanceDate" : "2010-06-11",
"market" : "NYSE American",
"fileLink" : "Cohen Capital Group",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-AMEX-09.pdf"
}, {
"name" : "Tradition Asiel Securities Inc.",
"number" : "10-NYSE-14",
"decisionAcceptanceDate" : "2010-06-09",
"market" : "NYSE",
"fileLink" : "Tradition Asiel Securities Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-14.pdf"
}, {
"name" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
"number" : "10-NYSE-13",
"decisionAcceptanceDate" : "2010-05-14",
"market" : "NYSE",
"fileLink" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-13.pdf"
}, {
"name" : "E*Trade Clearing LLC",
"number" : "10-NYSE-12",
"decisionAcceptanceDate" : "2010-05-04",
"market" : "NYSE",
"fileLink" : "E*Trade Clearing LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-12.pdf"
}, {
"name" : "Goldman Sachs Execution & Clearing, L.P.",
"number" : "10-NYSE-11",
"decisionAcceptanceDate" : "2010-05-03",
"market" : "NYSE",
"fileLink" : "Goldman Sachs Execution & Clearing, L.P.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-11.pdf"
}, {
"name" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
"number" : "10-NYSE-10",
"decisionAcceptanceDate" : "2010-04-30",
"market" : "NYSE",
"fileLink" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-10.pdf"
}, {
"name" : "Fortis Clearing Americas LLC",
"number" : "10-NYSE-08",
"decisionAcceptanceDate" : "2010-04-22",
"market" : "NYSE",
"fileLink" : "Fortis Clearing Americas LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-08.pdf"
}, {
"name" : "BNY ConvergEx Execution Solutions, LLC.",
"number" : "10-NYSE-09",
"decisionAcceptanceDate" : "2010-04-22",
"market" : "NYSE",
"fileLink" : "BNY ConvergEx Execution Solutions, LLC.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-09.pdf"
}, {
"name" : "Amerivest Partners, L.L.C.",
"number" : "10-AMEX-08",
"decisionAcceptanceDate" : "2010-04-22",
"market" : "NYSE American",
"fileLink" : "Amerivest Partners, L.L.C.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-AMEX-08.pdf"
}, {
"name" : "Cantor Fitzgerald & Co.",
"number" : "10-ARCA-01",
"decisionAcceptanceDate" : "2010-04-16",
"market" : "NYSE Arca",
"fileLink" : "Cantor Fitzgerald & Co.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2010/10-ARCA-01.pdf"
}, {
"name" : "Mark Stephen Kolber",
"number" : "10-AMEX-07",
"decisionAcceptanceDate" : "2010-03-30",
"market" : "NYSE American",
"fileLink" : "Mark Stephen Kolber",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-AMEX-07.pdf"
}, {
"name" : "David Shin",
"number" : "10-AMEX-06",
"decisionAcceptanceDate" : "2010-03-25",
"market" : "NYSE American",
"fileLink" : "David Shin",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-AMEX-06.pdf"
}, {
"name" : "UBS Securities LLC",
"number" : "10-NYSE-07",
"decisionAcceptanceDate" : "2010-03-15",
"market" : "NYSE",
"fileLink" : "UBS Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-07.pdf"
}, {
"name" : "James Gerard O'Callaghan",
"number" : "10-NYSE-05",
"decisionAcceptanceDate" : "2010-03-11",
"market" : "NYSE",
"fileLink" : "James Gerard O'Callaghan",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-05.pdf"
}, {
"name" : "Keith C. Arnold",
"number" : "10-NYSE-06",
"decisionAcceptanceDate" : "2010-03-11",
"market" : "NYSE",
"fileLink" : "Keith C. Arnold",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-06.pdf"
}, {
"name" : "Christopher S. Bier",
"number" : "10-AMEX-05",
"decisionAcceptanceDate" : "2010-03-01",
"market" : "NYSE American",
"fileLink" : "Christopher S. Bier",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-AMEX-05.pdf"
}, {
"name" : "Israel A. Englander & Co., Inc.",
"number" : "10-AMEX-04",
"decisionAcceptanceDate" : "2010-02-22",
"market" : "NYSE American",
"fileLink" : "Israel A. Englander & Co., Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-AMEX-04.pdf"
}, {
"name" : "Goldman Sachs Execution & Clearing, L.P.",
"number" : "10-NYSE-04",
"decisionAcceptanceDate" : "2010-02-22",
"market" : "NYSE",
"fileLink" : "Goldman Sachs Execution & Clearing, L.P.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-04.pdf"
}, {
"name" : "Larry LaVoice",
"number" : "10-NYSE-02",
"decisionAcceptanceDate" : "2010-02-09",
"market" : "NYSE",
"fileLink" : "Larry LaVoice",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-2.pdf"
}, {
"name" : "Francesco Fiske Rusciano",
"number" : "10-NYSE-03",
"decisionAcceptanceDate" : "2010-02-09",
"market" : "NYSE",
"fileLink" : "Francesco Fiske Rusciano",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-03.pdf"
}, {
"name" : "William Kantor",
"number" : "10-AMEX-02",
"decisionAcceptanceDate" : "2010-01-27",
"market" : "NYSE American",
"fileLink" : "William Kantor",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-AMEX-02.pdf"
}, {
"name" : "Reynders, Gray & Co., Inc. n/k/a Ticonderoga Securities, LLC",
"number" : "10-NYSE-01",
"decisionAcceptanceDate" : "2010-01-26",
"market" : "NYSE",
"fileLink" : "Reynders, Gray & Co., Inc. n/k/a Ticonderoga Securities, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2010/10-NYSE-01.pdf"
}, {
"name" : "Sun Trading LLC",
"number" : "D-09-03",
"decisionAcceptanceDate" : "2010-01-26",
"market" : "NYSE Texas",
"fileLink" : "Sun Trading LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2010/D-09-03_Sun_Trading_LLC.pdf"
}, {
"name" : "Goldman Sachs Execution & Clearing, L.P. f/k/a Spear, Leeds & Kellogg, L.P.",
"number" : "10-AMEX-01",
"decisionAcceptanceDate" : "2010-01-20",
"market" : "NYSE American",
"fileLink" : "Goldman Sachs Execution & Clearing, L.P. f/k/a Spear, Leeds & Kellogg, L.P.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-AMEX-01.pdf"
}, {
"name" : "Robert Peter Bucich",
"number" : "10-AMEX-03",
"decisionAcceptanceDate" : "2010-01-01",
"market" : "NYSE American",
"fileLink" : "Robert Peter Bucich",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2010/10-AMEX-03.pdf"
}, {
"name" : "EWT, LLC",
"number" : "09-AMEX-34",
"decisionAcceptanceDate" : "2009-12-03",
"market" : "NYSE American",
"fileLink" : "EWT, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-34.pdf"
}, {
"name" : "Naum Voloshin",
"number" : "09-ARCA-01",
"decisionAcceptanceDate" : "2009-12-03",
"market" : "NYSE Arca",
"fileLink" : "Naum Voloshin",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2009/09-ARCA-BCCD-01.pdf"
}, {
"name" : "William M. Begley, Jr.",
"number" : "09-AMEX-33",
"decisionAcceptanceDate" : "2009-11-27",
"market" : "NYSE American",
"fileLink" : "William M. Begley, Jr.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-33.pdf"
}, {
"name" : "Credit Suisse Securities (USA) LLC",
"number" : "09-NYSE-24",
"decisionAcceptanceDate" : "2009-11-27",
"market" : "NYSE",
"fileLink" : "Credit Suisse Securities (USA) LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-24.pdf"
}, {
"name" : "Brian Malat",
"number" : "09-NYSE-25",
"decisionAcceptanceDate" : "2009-11-27",
"market" : "NYSE",
"fileLink" : "Brian Malat",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-25.pdf"
}, {
"name" : "Harold O'Keefe",
"number" : "09-AMEX-32",
"decisionAcceptanceDate" : "2009-10-29",
"market" : "NYSE American",
"fileLink" : "Harold O'Keefe",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-32.pdf"
}, {
"name" : "Brendan E. Cryan and Company L.L.C.",
"number" : "09-AMEX-31",
"decisionAcceptanceDate" : "2009-10-28",
"market" : "NYSE American",
"fileLink" : "Brendan E. Cryan and Company L.L.C.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-31.pdf"
}, {
"name" : "Michael Ayres",
"number" : "09-Amex-30",
"decisionAcceptanceDate" : "2009-10-26",
"market" : "NYSE American",
"fileLink" : "Michael Ayres",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-Amex-30.pdf"
}, {
"name" : "Tradebot Systems, Inc.",
"number" : "09-ARCA-10",
"decisionAcceptanceDate" : "2009-10-15",
"market" : "NYSE Arca",
"fileLink" : "Tradebot Systems, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2009/09-ARCA-10.pdf"
}, {
"name" : "Unnamed Specialist X",
"number" : "09-NYSE-10",
"decisionAcceptanceDate" : "2009-10-06",
"market" : "NYSE",
"fileLink" : "Unnamed Specialist X",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-10.pdf"
}, {
"name" : "CRT Executed Order",
"number" : "D-09-02",
"decisionAcceptanceDate" : "2009-10-02",
"market" : "NYSE Texas",
"fileLink" : "CRT Executed Order",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2009/D-09-02_CRT_Executed_Order.pdf"
}, {
"name" : "LaBranche & Co., LLC",
"number" : "09-AMEX-28",
"decisionAcceptanceDate" : "2009-10-01",
"market" : "NYSE American",
"fileLink" : "LaBranche & Co., LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-28.pdf"
}, {
"name" : "Susquehanna Investment Group and Susquehanna Securities",
"number" : "09-AMEX-26-27",
"decisionAcceptanceDate" : "2009-09-29",
"market" : "NYSE American",
"fileLink" : "Susquehanna Investment Group and Susquehanna Securities",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-26-27.pdf"
}, {
"name" : "William Muldoon",
"number" : "09-NYSE-23",
"decisionAcceptanceDate" : "2009-09-18",
"market" : "NYSE",
"fileLink" : "William Muldoon",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-23.pdf"
}, {
"name" : "Harvey A. Herman",
"number" : "09-NYSE-22",
"decisionAcceptanceDate" : "2009-09-15",
"market" : "NYSE",
"fileLink" : "Harvey A. Herman",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-22.pdf"
}, {
"name" : "AK Capital, LLC ",
"number" : "09-ARCA-09",
"decisionAcceptanceDate" : "2009-09-14",
"market" : "NYSE Arca",
"fileLink" : "AK Capital, LLC ",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2009/09-ARCA-09.pdf"
}, {
"name" : "National Financial Services, LLC",
"number" : "09-NYSE-21",
"decisionAcceptanceDate" : "2009-09-09",
"market" : "NYSE",
"fileLink" : "National Financial Services, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-21.pdf"
}, {
"name" : "Deutsche Bank Securities, Inc.",
"number" : "09-ARCA-08",
"decisionAcceptanceDate" : "2009-09-04",
"market" : "NYSE Arca",
"fileLink" : "Deutsche Bank Securities, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2009/09-ARCA-08.pdf"
}, {
"name" : "Tradestation Securities, Inc.",
"number" : "09-NYSE-20",
"decisionAcceptanceDate" : "2009-09-02",
"market" : "NYSE",
"fileLink" : "Tradestation Securities, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-20.pdf"
}, {
"name" : "Citigroup Global Markets, Inc.",
"number" : "09-NYSE-19",
"decisionAcceptanceDate" : "2009-08-21",
"market" : "NYSE",
"fileLink" : "Citigroup Global Markets, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-19.pdf"
}, {
"name" : "JAW Trading LLC Equities",
"number" : "09-ARCA-07",
"decisionAcceptanceDate" : "2009-08-12",
"market" : "NYSE Arca",
"fileLink" : "JAW Trading LLC Equities",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2009/09-ARCA-07.pdf"
}, {
"name" : "Morgan Stanley & Co. Incorporated",
"number" : "09-NYSE-16",
"decisionAcceptanceDate" : "2009-08-11",
"market" : "NYSE",
"fileLink" : "Morgan Stanley & Co. Incorporated",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-16.pdf"
}, {
"name" : "AGS Specialists, L.L.C, AGS Specialists II, L.L.C. and STR Specialists",
"number" : "09-AMEX-23-24-25",
"decisionAcceptanceDate" : "2009-08-07",
"market" : "NYSE American",
"fileLink" : "AGS Specialists, L.L.C, AGS Specialists II, L.L.C. and STR Specialists",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-23-25.pdf"
}, {
"name" : "HAZAN CAPITAL MANAGEMENT, L.L.C . FORMER OTP HOLDER and MARKET MAKER",
"number" : "09-ARCA-6",
"decisionAcceptanceDate" : "2009-08-04",
"market" : "NYSE Arca",
"fileLink" : "HAZAN CAPITAL MANAGEMENT, L.L.C . FORMER OTP HOLDER and MARKET MAKER",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2009/09-AMEX-21-22 09-ARCA-05-06.pdf"
}, {
"name" : "Steven Moses Hazan and Hazan Capital Management, L.L.C.",
"number" : "09-AMEX-21-22",
"decisionAcceptanceDate" : "2009-08-04",
"market" : "NYSE American",
"fileLink" : "Steven Moses Hazan and Hazan Capital Management, L.L.C.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-21-22 09-ARCA-05-06.pdf"
}, {
"name" : "Matthew Mills",
"number" : "09-NYSE-15",
"decisionAcceptanceDate" : "2009-08-04",
"market" : "NYSE",
"fileLink" : "Matthew Mills",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-15.pdf"
}, {
"name" : "Kellogg Capital Group, LLC",
"number" : "09-AMEX-20",
"decisionAcceptanceDate" : "2009-08-03",
"market" : "NYSE American",
"fileLink" : "Kellogg Capital Group, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-20.pdf"
}, {
"name" : "BNY ConvergEx Execution Solutions LLC",
"number" : "09-AMEX-19",
"decisionAcceptanceDate" : "2009-07-31",
"market" : "NYSE American",
"fileLink" : "BNY ConvergEx Execution Solutions LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-19.pdf"
}, {
"name" : "Heights Partners, Inc.",
"number" : "09-AMEX-18",
"decisionAcceptanceDate" : "2009-07-29",
"market" : "NYSE American",
"fileLink" : "Heights Partners, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-18.pdf"
}, {
"name" : "CTC, LLC",
"number" : "09-AMEX-17",
"decisionAcceptanceDate" : "2009-06-30",
"market" : "NYSE American",
"fileLink" : "CTC, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-17.pdf"
}, {
"name" : "Bear Wagner Specialists, L.L.C., Bear Hunter Structured Products, L.L.C., and HBH Specialists, L.L.C.",
"number" : "09-AMEX-14-16",
"decisionAcceptanceDate" : "2009-06-25",
"market" : "NYSE American",
"fileLink" : "Bear Wagner Specialists, L.L.C., Bear Hunter Structured Products, L.L.C., and HBH Specialists, L.L.C.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-14-16.pdf"
}, {
"name" : "J.P. Morgan Securities, Inc.",
"number" : "09-NYSE-14",
"decisionAcceptanceDate" : "2009-06-23",
"market" : "NYSE",
"fileLink" : "J.P. Morgan Securities, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-14.pdf"
}, {
"name" : "Jane Street Specialists, LLC",
"number" : "09-AMEX-13",
"decisionAcceptanceDate" : "2009-06-11",
"market" : "NYSE American",
"fileLink" : "Jane Street Specialists, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-13.pdf"
}, {
"name" : "AIM Securities Co., Advanced Securities Co., AEGIS Specialist LLC and Michael Marchisi",
"number" : "09-AMEX-09-12",
"decisionAcceptanceDate" : "2009-05-21",
"market" : "NYSE American",
"fileLink" : "AIM Securities Co., Advanced Securities Co., AEGIS Specialist LLC and Michael Marchisi",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-09-12.pdf"
}, {
"name" : "Dougall and Associates, Inc. and James Hennessy, Jr",
"number" : "D-09-01",
"decisionAcceptanceDate" : "2009-05-06",
"market" : "NYSE Texas",
"fileLink" : "Dougall and Associates, Inc. and James Hennessy, Jr",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2009/D-09-01_Dougall_Associates_and_James_Hennessy_Jr..pdf"
}, {
"name" : "Track Data Securities Corp.",
"number" : "09-ARCA-3",
"decisionAcceptanceDate" : "2009-04-22",
"market" : "NYSE Arca",
"fileLink" : "Track Data Securities Corp.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2009/09-ARCA-03 and 04.pdf"
}, {
"name" : "Stanley Stern",
"number" : "09-ARCA-04",
"decisionAcceptanceDate" : "2009-04-22",
"market" : "NYSE Arca",
"fileLink" : "Stanley Stern",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2009/09-ARCA-04.pdf"
}, {
"name" : "Citigroup Global Markets, Inc.",
"number" : "09-NYSE-11",
"decisionAcceptanceDate" : "2009-04-08",
"market" : "NYSE",
"fileLink" : "Citigroup Global Markets, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-11.pdf"
}, {
"name" : "Torc Investments & Research, LLC",
"number" : "09-NYSE-12",
"decisionAcceptanceDate" : "2009-04-08",
"market" : "NYSE",
"fileLink" : "Torc Investments & Research, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-12.pdf"
}, {
"name" : "Steven M. Pickering",
"number" : "09-NYSE-13",
"decisionAcceptanceDate" : "2009-04-08",
"market" : "NYSE",
"fileLink" : "Steven M. Pickering",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-13.pdf"
}, {
"name" : "Wedbush Morgan Securities",
"number" : "09-AMEX-05",
"decisionAcceptanceDate" : "2009-04-08",
"market" : "NYSE American",
"fileLink" : "Wedbush Morgan Securities",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-05.pdf"
}, {
"name" : "Calyon Securities (USA) LLC",
"number" : "09-NYSE-09",
"decisionAcceptanceDate" : "2009-03-24",
"market" : "NYSE",
"fileLink" : "Calyon Securities (USA) LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-09.pdf"
}, {
"name" : "Goldman Sachs & Co.",
"number" : "09-NYSE-05",
"decisionAcceptanceDate" : "2009-03-20",
"market" : "NYSE",
"fileLink" : "Goldman Sachs & Co.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09NYSE5-8AndAMEX4.pdf"
}, {
"name" : "Goldman Sachs Execution & Clearing, L.P.",
"number" : "09-NYSE-6",
"decisionAcceptanceDate" : "2009-03-20",
"market" : "NYSE",
"fileLink" : "Goldman Sachs Execution & Clearing, L.P.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09NYSE5-8AndAMEX4.pdf"
}, {
"name" : "Spear, Leeds & Kellogg Specialists LLC",
"number" : "09-NYSE-07",
"decisionAcceptanceDate" : "2009-03-20",
"market" : "NYSE",
"fileLink" : "Spear, Leeds & Kellogg Specialists LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09NYSE5-8AndAMEX4.pdf"
}, {
"name" : "SLK Index Specialists LLC",
"number" : "09-NYSE-08",
"decisionAcceptanceDate" : "2009-03-20",
"market" : "NYSE",
"fileLink" : "SLK Index Specialists LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09NYSE5-8AndAMEX4.pdf"
}, {
"name" : "Jonathan Q. Frey",
"number" : "09-AMEX-03",
"decisionAcceptanceDate" : "2009-03-19",
"market" : "NYSE American",
"fileLink" : "Jonathan Q. Frey",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-03.pdf"
}, {
"name" : "J. Streicher & Co., LLC",
"number" : "09-AMEX-02",
"decisionAcceptanceDate" : "2009-03-19",
"market" : "NYSE American",
"fileLink" : "J. Streicher & Co., LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-02.pdf"
}, {
"name" : "Richard Foerster Reynolds",
"number" : "09-NYSE-04",
"decisionAcceptanceDate" : "2009-03-10",
"market" : "NYSE",
"fileLink" : "Richard Foerster Reynolds",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-04.pdf"
}, {
"name" : "Michael Peter Sirianni",
"number" : "08-034",
"decisionAcceptanceDate" : "2009-02-23",
"market" : "NYSE",
"fileLink" : "Michael Peter Sirianni",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/08-034.pdf"
}, {
"name" : "Fagenson & Co., Inc.",
"number" : "09-ALT-01",
"decisionAcceptanceDate" : "2009-02-19",
"market" : "NYSE American",
"fileLink" : "Fagenson & Co., Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-ALT-01.pdf"
}, {
"name" : "Brian K. Schaeffer",
"number" : "09-NYSE-02",
"decisionAcceptanceDate" : "2009-02-19",
"market" : "NYSE",
"fileLink" : "Brian K. Schaeffer",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-02_03.pdf"
}, {
"name" : "Van der Moolen Specialists USA, LLC",
"number" : "09-NYSE-03",
"decisionAcceptanceDate" : "2009-02-19",
"market" : "NYSE",
"fileLink" : "Van der Moolen Specialists USA, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-02_03.pdf"
}, {
"name" : "Darren Marcario Story",
"number" : "09-ARCA-02",
"decisionAcceptanceDate" : "2009-02-13",
"market" : "NYSE Arca",
"fileLink" : "Darren Marcario Story",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2009/09-ARCA-02.pdf"
}, {
"name" : "Savant Trading, LLC",
"number" : "09-ARCA-01",
"decisionAcceptanceDate" : "2009-02-10",
"market" : "NYSE Arca",
"fileLink" : "Savant Trading, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2009/09-ARCA-01.pdf"
}, {
"name" : "Wedbush Morgan Securities Inc.",
"number" : "09-NYSE-01",
"decisionAcceptanceDate" : "2009-01-06",
"market" : "NYSE",
"fileLink" : "Wedbush Morgan Securities Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-01.pdf"
}, {
"name" : "Bluefin Specialists, LLC and Bluefin Trading, LLC",
"number" : "09-AMEX-06 and 07",
"decisionAcceptanceDate" : "2009-01-01",
"market" : "NYSE American",
"fileLink" : "Bluefin Specialists, LLC and Bluefin Trading, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-06 and 07.pdf"
}, {
"name" : "LaBranche Structured Products LLC",
"number" : "09-AMEX-29",
"decisionAcceptanceDate" : "2009-01-01",
"market" : "NYSE American",
"fileLink" : "LaBranche Structured Products LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-29.pdf"
}, {
"name" : "Steven B. Schonfeld",
"number" : "08-AE-05",
"decisionAcceptanceDate" : "2009-01-01",
"market" : "NYSE Arca",
"fileLink" : "Steven B. Schonfeld",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2009/08-AE-04-and-08-AE-05.pdf"
}, {
"name" : "Amy Jean Elias",
"number" : "09-NYSE-18",
"decisionAcceptanceDate" : "2009-01-01",
"market" : "NYSE",
"fileLink" : "Amy Jean Elias",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-17, 09-NYSE-18 NYSE Board Decision.pdf"
}, {
"name" : "Philip L. Spartis",
"number" : "09-NYSE-17",
"decisionAcceptanceDate" : "2009-01-01",
"market" : "NYSE",
"fileLink" : "Philip L. Spartis",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2009/09-NYSE-17, 09-NYSE-18 SEC Decision.pdf"
}, {
"name" : "Steven J. Martino",
"number" : "09-AMEX-08",
"decisionAcceptanceDate" : "2009-01-01",
"market" : "NYSE American",
"fileLink" : "Steven J. Martino",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2009/09-AMEX-08.pdf"
}, {
"name" : "Schonfeld Securities, LLC",
"number" : "08-AE-04",
"decisionAcceptanceDate" : "2008-12-31",
"market" : "NYSE Arca",
"fileLink" : "Schonfeld Securities, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2008/08-AE-04-and-08-AE-05.pdf"
}, {
"name" : "Lyall Securities, Inc.",
"number" : "D-08-04",
"decisionAcceptanceDate" : "2008-12-31",
"market" : "NYSE Texas",
"fileLink" : "Lyall Securities, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2008/D-08-04_Lyall_Securities_Inc.pdf"
}, {
"name" : "Gregory W. Gray, Jr.",
"number" : "08-003",
"decisionAcceptanceDate" : "2008-12-17",
"market" : "NYSE",
"fileLink" : "Gregory W. Gray, Jr.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-003.pdf"
}, {
"name" : "Wolverine Trading, LLC",
"number" : "08-ALT-02",
"decisionAcceptanceDate" : "2008-12-17",
"market" : "NYSE American",
"fileLink" : "Wolverine Trading, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/08-ALT-02.pdf"
}, {
"name" : "Trinity Derivatives Group, LLC",
"number" : "ALT-08-01",
"decisionAcceptanceDate" : "2008-12-10",
"market" : "NYSE American",
"fileLink" : "Trinity Derivatives Group, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/ALT-08-01.pdf"
}, {
"name" : "John Henry Rabon, III",
"number" : "08-049",
"decisionAcceptanceDate" : "2008-12-10",
"market" : "NYSE",
"fileLink" : "John Henry Rabon, III",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-049.pdf"
}, {
"name" : "Robert D. Zielke, Jr.",
"number" : "08-048",
"decisionAcceptanceDate" : "2008-12-03",
"market" : "NYSE",
"fileLink" : "Robert D. Zielke, Jr.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-048.pdf"
}, {
"name" : "Steven Lloyd Cronin",
"number" : "08-047",
"decisionAcceptanceDate" : "2008-11-24",
"market" : "NYSE",
"fileLink" : "Steven Lloyd Cronin",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-047.pdf"
}, {
"name" : "Herbert C. Kurlan",
"number" : "08-AO-03",
"decisionAcceptanceDate" : "2008-11-21",
"market" : "NYSE Arca",
"fileLink" : "Herbert C. Kurlan",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2008/08-AO-03.pdf"
}, {
"name" : "Herbert C. Kurlan",
"number" : "08-AO-03",
"decisionAcceptanceDate" : "2008-11-21",
"market" : "NYSE Arca",
"fileLink" : "Herbert C. Kurlan",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2008/08-AE-03.pdf"
}, {
"name" : "Michael Hagis",
"number" : "08-046",
"decisionAcceptanceDate" : "2008-10-24",
"market" : "NYSE",
"fileLink" : "Michael Hagis",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-046.pdf"
}, {
"name" : "BKI Associates",
"number" : "07-31 and 07-107 [AMXC08030]",
"decisionAcceptanceDate" : "2008-10-24",
"market" : "NYSE American",
"fileLink" : "BKI Associates",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/BKIAssociates_Decision_102408.pdf"
}, {
"name" : "Stuyvesant Trading Group, LLC",
"number" : "05-310 [AMXC08028]",
"decisionAcceptanceDate" : "2008-10-24",
"market" : "NYSE American",
"fileLink" : "Stuyvesant Trading Group, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/StuyvesantTradingGroup_Decision_102408.pdf"
}, {
"name" : "Robert G. Pears & Co., Inc.",
"number" : "06-225 [AMXC08029]",
"decisionAcceptanceDate" : "2008-10-24",
"market" : "NYSE American",
"fileLink" : "Robert G. Pears & Co., Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/RobertGPearsCo_Decision_102408.pdf"
}, {
"name" : "Goldman, Sachs & Co.",
"number" : "08-045",
"decisionAcceptanceDate" : "2008-10-23",
"market" : "NYSE",
"fileLink" : "Goldman, Sachs & Co.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-045.pdf"
}, {
"name" : "Janet Gurley Katz",
"number" : "08-032",
"decisionAcceptanceDate" : "2008-10-15",
"market" : "NYSE",
"fileLink" : "Janet Gurley Katz",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-032.pdf"
}, {
"name" : "Christopher Ahlgrim",
"number" : "08-044",
"decisionAcceptanceDate" : "2008-10-06",
"market" : "NYSE",
"fileLink" : "Christopher Ahlgrim",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-044.pdf"
}, {
"name" : "Casey Securities, LLC",
"number" : "08-AO-02",
"decisionAcceptanceDate" : "2008-09-24",
"market" : "NYSE Arca",
"fileLink" : "Casey Securities, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2008/08-AO-02.pdf"
}, {
"name" : "RBC Capital Markets Corp.",
"number" : "08-043",
"decisionAcceptanceDate" : "2008-09-12",
"market" : "NYSE",
"fileLink" : "RBC Capital Markets Corp.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-043.pdf"
}, {
"name" : "Charles Winitch",
"number" : "08-007",
"decisionAcceptanceDate" : "2008-09-10",
"market" : "NYSE",
"fileLink" : "Charles Winitch",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-007.pdf"
}, {
"name" : "Bradley Poock",
"number" : "08-022",
"decisionAcceptanceDate" : "2008-09-10",
"market" : "NYSE",
"fileLink" : "Bradley Poock",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-022.pdf"
}, {
"name" : "Speed Trading Partners, LLC",
"number" : "D-08-03",
"decisionAcceptanceDate" : "2008-09-09",
"market" : "NYSE Texas",
"fileLink" : "Speed Trading Partners, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2008/D-08-03_Speed_Trading_Partners_LLC.PDF"
}, {
"name" : "James Gerard O'Callaghan",
"number" : "05-074",
"decisionAcceptanceDate" : "2008-09-02",
"market" : "NYSE",
"fileLink" : "James Gerard O'Callaghan",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/05-074.pdf"
}, {
"name" : "Deutsche Bank Securities Inc.",
"number" : "08-AE-02",
"decisionAcceptanceDate" : "2008-08-28",
"market" : "NYSE Arca",
"fileLink" : "Deutsche Bank Securities Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2008/08-AE-02.pdf"
}, {
"name" : "Mark Hanley",
"number" : "04-214 and 05-115 [AMXC08024]",
"decisionAcceptanceDate" : "2008-08-25",
"market" : "NYSE American",
"fileLink" : "Mark Hanley",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/Hanley_Decision_082508.pdf"
}, {
"name" : "Banc of America Securities, LLC",
"number" : "06-281 [AMXC08025]",
"decisionAcceptanceDate" : "2008-08-25",
"market" : "NYSE American",
"fileLink" : "Banc of America Securities, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/BOA_LLC_Decision_082508.pdf"
}, {
"name" : "Citigroup Global Markets, Inc.",
"number" : "08-042",
"decisionAcceptanceDate" : "2008-08-08",
"market" : "NYSE",
"fileLink" : "Citigroup Global Markets, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-042.pdf"
}, {
"name" : "LaSalle Capital, LLC",
"number" : "D-08-02",
"decisionAcceptanceDate" : "2008-08-06",
"market" : "NYSE Texas",
"fileLink" : "LaSalle Capital, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2008/D-08-02_LaSalle_Capital_LLC.pdf"
}, {
"name" : "Marshall Robert LaRusso",
"number" : "08-041",
"decisionAcceptanceDate" : "2008-08-01",
"market" : "NYSE",
"fileLink" : "Marshall Robert LaRusso",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-041.pdf"
}, {
"name" : "Student Options, LLC",
"number" : "08-AO-01",
"decisionAcceptanceDate" : "2008-07-29",
"market" : "NYSE Arca",
"fileLink" : "Student Options, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2008/08-AO-01.pdf"
}, {
"name" : "Anis F. Attarwala",
"number" : "08-040",
"decisionAcceptanceDate" : "2008-07-18",
"market" : "NYSE",
"fileLink" : "Anis F. Attarwala",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-040.pdf"
}, {
"name" : "Stephen Skinner",
"number" : "08-039",
"decisionAcceptanceDate" : "2008-07-16",
"market" : "NYSE",
"fileLink" : "Stephen Skinner",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-039.pdf"
}, {
"name" : "D & D Securities, Inc.",
"number" : "06-457 [AMXC08023]",
"decisionAcceptanceDate" : "2008-07-10",
"market" : "NYSE American",
"fileLink" : "D & D Securities, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/DnD_Securities_Decision_071008.pdf"
}, {
"name" : "JAS Securities, LLC, Michael F. Coughlin, Andrew M. Smukler, and Steven S. Segal",
"number" : "06-184 [AMXC07006]",
"decisionAcceptanceDate" : "2008-07-10",
"market" : "NYSE American",
"fileLink" : "JAS Securities, LLC, Michael F. Coughlin, Andrew M. Smukler, and Steven S. Segal",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/JASsecurities_Decision_071008.pdf"
}, {
"name" : "Gargoyle Strategic Investments, LLC",
"number" : "05-520 [AMXC08022]",
"decisionAcceptanceDate" : "2008-07-10",
"market" : "NYSE American",
"fileLink" : "Gargoyle Strategic Investments, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/GargoyleStrategicInvestments_Decision_071008.pdf"
}, {
"name" : "Spectra Derivatives Group, LLC (f/k/a Spectra Financial Group, LLC)",
"number" : "05-243 and 07-79 [AMXC08020]",
"decisionAcceptanceDate" : "2008-07-10",
"market" : "NYSE American",
"fileLink" : "Spectra Derivatives Group, LLC (f/k/a Spectra Financial Group, LLC)",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/SpectraDerivativesGroup_Decision_071008.pdf"
}, {
"name" : "Patrick M. Baker",
"number" : "05-226, 05-370, 06-135 and 06-434 [AMXC07018]",
"decisionAcceptanceDate" : "2008-07-10",
"market" : "NYSE American",
"fileLink" : "Patrick M. Baker",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/Baker_Decision_071008.pdf"
}, {
"name" : "Charles Schwab & Co., Inc.",
"number" : "06-302 [AMXC08019]",
"decisionAcceptanceDate" : "2008-07-10",
"market" : "NYSE American",
"fileLink" : "Charles Schwab & Co., Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/Charles_Schwab_Decision_071008.pdf"
}, {
"name" : "Evan Greenberg",
"number" : "08-038",
"decisionAcceptanceDate" : "2008-07-09",
"market" : "NYSE",
"fileLink" : "Evan Greenberg",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-038.pdf"
}, {
"name" : "John N. Monaco",
"number" : "08-037",
"decisionAcceptanceDate" : "2008-06-26",
"market" : "NYSE",
"fileLink" : "John N. Monaco",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-037.pdf"
}, {
"name" : "Credit Suisse Securities (USA) LLC",
"number" : "08-036",
"decisionAcceptanceDate" : "2008-06-23",
"market" : "NYSE",
"fileLink" : "Credit Suisse Securities (USA) LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-036.pdf"
}, {
"name" : "LL Partners, Inc.",
"number" : "08-035",
"decisionAcceptanceDate" : "2008-06-20",
"market" : "NYSE",
"fileLink" : "LL Partners, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-035.pdf"
}, {
"name" : "Paul Edward Murin, Jr.",
"number" : "08-033",
"decisionAcceptanceDate" : "2008-06-17",
"market" : "NYSE",
"fileLink" : "Paul Edward Murin, Jr.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-033.pdf"
}, {
"name" : "JMM Specialists, LLC",
"number" : "D-08-01",
"decisionAcceptanceDate" : "2008-06-16",
"market" : "NYSE Texas",
"fileLink" : "JMM Specialists, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2008/D-08-01_JMM_Specialists_LLC.pdf"
}, {
"name" : "Michael Nichols",
"number" : "08-031",
"decisionAcceptanceDate" : "2008-06-03",
"market" : "NYSE",
"fileLink" : "Michael Nichols",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-031.pdf"
}, {
"name" : "William Donald Redfern",
"number" : "07-131",
"decisionAcceptanceDate" : "2008-05-28",
"market" : "NYSE",
"fileLink" : "William Donald Redfern",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/07-131.pdf"
}, {
"name" : "Gerard Thomas Hayes",
"number" : "08-030",
"decisionAcceptanceDate" : "2008-05-21",
"market" : "NYSE",
"fileLink" : "Gerard Thomas Hayes",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-030.pdf"
}, {
"name" : "Raymar Capital, LLC",
"number" : "02-27 [AMXC08016]",
"decisionAcceptanceDate" : "2008-05-21",
"market" : "NYSE American",
"fileLink" : "Raymar Capital, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/RaymarCapital_Decision_052108.pdf"
}, {
"name" : "Gale Giger",
"number" : "07-173 [AMXC08018]",
"decisionAcceptanceDate" : "2008-05-21",
"market" : "NYSE American",
"fileLink" : "Gale Giger",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/Giger_Decision_052108.pdf"
}, {
"name" : "CTC, LLC",
"number" : "06-461 [AMXC08014]",
"decisionAcceptanceDate" : "2008-05-21",
"market" : "NYSE American",
"fileLink" : "CTC, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/CTC_Decision_052108.pdf"
}, {
"name" : "Louis Long",
"number" : "04-170 [AMXC08015]",
"decisionAcceptanceDate" : "2008-05-21",
"market" : "NYSE American",
"fileLink" : "Louis Long",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/Long_Decision_052108.pdf"
}, {
"name" : "Robert Frankl",
"number" : "03-06 [AMXC08017]",
"decisionAcceptanceDate" : "2008-05-21",
"market" : "NYSE American",
"fileLink" : "Robert Frankl",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/Frankl_Decision_052108.pdf"
}, {
"name" : "Alan Tom, Theodore Jung, Patrick Chun, Dennis Dunn",
"number" : "03-33 [AMXC08010]",
"decisionAcceptanceDate" : "2008-05-21",
"market" : "NYSE American",
"fileLink" : "Alan Tom, Theodore Jung, Patrick Chun, Dennis Dunn",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2008/TomJungChungDunn_Decision_052108.pdf"
}, {
"name" : "John A. Vedovino",
"number" : "08-029",
"decisionAcceptanceDate" : "2008-05-19",
"market" : "NYSE",
"fileLink" : "John A. Vedovino",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-029.pdf"
}, {
"name" : "Deutsche Bank Securities Inc.",
"number" : "08-027",
"decisionAcceptanceDate" : "2008-05-15",
"market" : "NYSE",
"fileLink" : "Deutsche Bank Securities Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-027.pdf"
}, {
"name" : "Adam Feil",
"number" : "08-028",
"decisionAcceptanceDate" : "2008-05-15",
"market" : "NYSE",
"fileLink" : "Adam Feil",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-028.pdf"
}, {
"name" : "James Gerard O'Callaghan",
"number" : "08-020",
"decisionAcceptanceDate" : "2008-05-12",
"market" : "NYSE",
"fileLink" : "James Gerard O'Callaghan",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-020.pdf"
}, {
"name" : "Christopher Chung",
"number" : "08-024",
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"fileLink" : "Christopher Chung",
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"name" : "Daniel Becerra",
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"fileLink" : "Daniel Becerra",
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"name" : "ATP Trading, LLC",
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"name" : "Eric William Kooy",
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"market" : "NYSE",
"fileLink" : "Eric William Kooy",
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"name" : "J&D Securities LLC",
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"market" : "NYSE",
"fileLink" : "J&D Securities LLC",
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"name" : "Bear Stearns & Co., Inc.",
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"market" : "NYSE",
"fileLink" : "Bear Stearns & Co., Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-014.pdf"
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"name" : "Citigroup Global Markets Inc.",
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"market" : "NYSE",
"fileLink" : "Citigroup Global Markets Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-015.pdf"
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"name" : "Credit Suisse Securities (USA) LLC",
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"market" : "NYSE",
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"name" : "Goldman, Sachs & Co.",
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"market" : "NYSE",
"fileLink" : "Goldman, Sachs & Co.",
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"name" : "Morgan Stanley & Co., Inc",
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"market" : "NYSE",
"fileLink" : "Morgan Stanley & Co., Inc",
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"name" : "Vincent P. Mannetta",
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"name" : "Timothy Patrick Cronin, A.G. Edwards & Sons, Inc.",
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"market" : "NYSE American",
"fileLink" : "Timothy Patrick Cronin, A.G. Edwards & Sons, Inc.",
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"name" : "SG Americas Securities, LLC",
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"name" : "BNP Paribus Securities Corp. (f/k/a BNP Paribus Brokerage Services, Inc.)",
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"market" : "NYSE American",
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}, {
"name" : "GP Securities, Corp.",
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"fileLink" : "GP Securities, Corp.",
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"name" : "Deutsche Bank Securities",
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"market" : "NYSE American",
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"name" : "Fiserv Securities",
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"name" : "Peter Vassos Eliades",
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"market" : "NYSE",
"fileLink" : "Peter Vassos Eliades",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2008/08-013.pdf"
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"name" : "W.J. Bonfanti, Inc. n/k/a WJB Capital Group, Inc.",
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"market" : "NYSE",
"fileLink" : "W.J. Bonfanti, Inc. n/k/a WJB Capital Group, Inc.",
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"name" : "James Joseph Wolf",
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"market" : "NYSE",
"fileLink" : "James Joseph Wolf",
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"name" : "Joseph J. Gliozzo",
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"market" : "NYSE",
"fileLink" : "Joseph J. Gliozzo",
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"name" : "Dresdner Kleinwort Securities, LLC f/k/a Dresdner Kleinwort Wasserstein Securities LLC",
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"market" : "NYSE",
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"name" : "Goldman, Sachs & Co.",
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"market" : "NYSE",
"fileLink" : "Goldman, Sachs & Co.",
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"name" : "A.G. Edwards & Sons, Inc., Jim E. Cohlmia, and Robert L. McDonnell",
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}, {
"name" : "B&W Global LLC",
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"name" : "Israel A. Englander & Co., Inc.",
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"fileLink" : "Israel A. Englander & Co., Inc.",
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"name" : "Crest Management Partners LP",
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"name" : "Jesse A. Greenwald",
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"name" : "Progressive Securities Corp., Vincent Buccigrossi, Steven Ochs",
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"name" : "Robert Jonas Tart",
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"name" : "Shields Capital Corp.",
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"market" : "NYSE",
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"name" : "Luis Miguel Cespedes",
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"name" : "Michael Joseph Hayward",
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"name" : "Frank A. Smyth",
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"name" : "CRT Capital Group LLC",
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"name" : "James Thomas",
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"fileLink" : "James Thomas",
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"name" : "Unnamed Floor Broker X",
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"market" : "NYSE",
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"name" : "Merrill Lynch, Pierce, Fenner & Smith, Inc.",
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"name" : "Kevin Brunnock",
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"market" : "NYSE",
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"name" : "Merrill Lynch, Pierce, Fenner & Smith, Inc.",
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"name" : "Adam Galeon",
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"name" : "Jason N. Slezak",
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"market" : "NYSE",
"fileLink" : "Jason N. Slezak",
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"name" : "Mary E. Hahn",
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"market" : "NYSE",
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"name" : "Robert Hardy",
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"market" : "NYSE",
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"name" : "RBC Capital Markets Corporation",
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"name" : "Richard Wendell Babich",
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"market" : "NYSE",
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"name" : "Cohen Specialists, LLC, Andrew Cohen and Arthur Leon",
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"name" : "Goldman Sachs Execution & Clearing, L.P.",
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"name" : "Compass Professional Services, LLC",
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"name" : "Heights Partners, Inc.",
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"name" : "Montague Hasie",
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"name" : "Matthew N. Pavich",
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"market" : "NYSE",
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"name" : "Richard Francis Farrell",
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"name" : "Andre Joseph Cohen",
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"name" : "HSBC Securities (USA) Inc. as successor in interest to HSBC Brokerage (USA) Inc.",
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"name" : "Adam Lazarus",
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"name" : "Citigroup Global Markets Inc.",
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"name" : "Mesirow Financial, Inc.",
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"name" : "Lehman Brothers, Inc.",
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"name" : "Keefe, Bruyette & Woods, Inc.",
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"name" : "UBS Securities LLC",
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"name" : "McDonald Investments Inc.",
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"name" : "Wachovia Capital Markets LLC",
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"name" : "Goldman, Sachs & Co.",
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"name" : "Citigroup Global Markets Inc., successor by merger to Legg Mason Wood Walker, Inc., a former member organization",
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"name" : "Bear, Stearns & Co., Inc.",
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"name" : "Deutsche Bank Securities Inc.",
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"name" : "RBC Dain Rausher, Inc.",
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"name" : "J.P. Morgan Securities Inc.",
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"name" : "Hector H. Zelaya",
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"name" : "Stephen V. Mara",
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"name" : "Freddy DeBoer",
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"name" : "Joshua Lee Roberts",
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"name" : "Citigroup Global Markets, Inc.C",
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"name" : "Susquehanna Brokerage, L.P. nka SIG Brokerage L.P.",
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"name" : "Edison F. Parker",
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"name" : "Chad Matthew",
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"name" : "Charles Willard Swanson",
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"market" : "NYSE",
"fileLink" : "Charles Willard Swanson",
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"name" : "Timothy Hugh Puyear",
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"market" : "NYSE",
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"name" : "Christopher Eugene Pope",
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"market" : "NYSE",
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"name" : "John Edward Blankenship",
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"market" : "NYSE",
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"name" : "SJS Securities Inc",
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"name" : "Todd Elliot Harris",
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"market" : "NYSE",
"fileLink" : "Todd Elliot Harris",
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"name" : "First Hudson Financial Group, Inc.",
"number" : "007-109",
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"market" : "NYSE",
"fileLink" : "First Hudson Financial Group, Inc.",
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"name" : "Yuet Kwan Wong",
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"market" : "NYSE",
"fileLink" : "Yuet Kwan Wong",
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}, {
"name" : "Brian A. Arenstein and ALA Trading, LLC",
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"market" : "NYSE American",
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"name" : "William James Baylin, Jr.",
"number" : "05-112 [AMXC07012]",
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"market" : "NYSE American",
"fileLink" : "William James Baylin, Jr.",
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}, {
"name" : "Scott H. Arenstein and SBA Trading, LLC",
"number" : "07-71 [AMXC07013]",
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"market" : "NYSE American",
"fileLink" : "Scott H. Arenstein and SBA Trading, LLC",
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"name" : "Jay Nadelson",
"number" : "07-91 [AMXC07011]",
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"market" : "NYSE American",
"fileLink" : "Jay Nadelson",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2007/Nadelson_Decision_072007.pdf"
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"name" : "John Bell",
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"market" : "NYSE",
"fileLink" : "John Bell",
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"name" : "Janney Montgomery Scott LLC",
"number" : "07-107",
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"market" : "NYSE",
"fileLink" : "Janney Montgomery Scott LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-107.pdf"
}, {
"name" : "Citigroup Global Markets Inc.",
"number" : "07-105",
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"market" : "NYSE",
"fileLink" : "Citigroup Global Markets Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-105.pdf"
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"name" : "Michele S. Auld",
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"market" : "NYSE",
"fileLink" : "Michele S. Auld",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-101.pdf"
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"name" : "Patrina L. Williams",
"number" : "07-103",
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"market" : "NYSE",
"fileLink" : "Patrina L. Williams",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-103.pdf"
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"decisionAcceptanceDate" : "2007-07-09",
"market" : "NYSE American",
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}, {
"name" : "Headless Horseman Trading, LLC and Mark M. Duffy",
"number" : "06-108 [AMXC07008]",
"decisionAcceptanceDate" : "2007-07-09",
"market" : "NYSE American",
"fileLink" : "Headless Horseman Trading, LLC and Mark M. Duffy",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2007/HorsemanDuffy_Decision_070907.pdf"
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"name" : "Manuel E. Abad",
"number" : "07-100",
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"market" : "NYSE",
"fileLink" : "Manuel E. Abad",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-100.pdf"
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"name" : "Farrell Arceneaux",
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"market" : "NYSE",
"fileLink" : "Farrell Arceneaux",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-097.pdf"
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"name" : "Lauren Holli Baruch",
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"name" : "Arunabha Sengupta",
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"name" : "Vincent Berardo Lanci",
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"market" : "NYSE",
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"name" : "George B. Fasciano",
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"market" : "NYSE",
"fileLink" : "George B. Fasciano",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-095.pdf"
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"name" : "H&R Block Financial Advisors, Inc.",
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"market" : "NYSE",
"fileLink" : "H&R Block Financial Advisors, Inc.",
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"name" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
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"market" : "NYSE",
"fileLink" : "Merrill Lynch, Pierce, Fenner & Smith Incorporated",
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"name" : "Carlos L. Del Amo",
"number" : "07-094",
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"market" : "NYSE",
"fileLink" : "Carlos L. Del Amo",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-094.pdf"
}, {
"name" : "Thomas McNamara",
"number" : "03-53, 06-473 [AMXC06020]",
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"market" : "NYSE American",
"fileLink" : "Thomas McNamara",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2007/McNamara_Decision_061907.pdf"
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"name" : "Wachovia Securities, LLC",
"number" : "07-090",
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"market" : "NYSE",
"fileLink" : "Wachovia Securities, LLC",
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"name" : "Electronic Brokerage Systems, LLC",
"number" : "07-091",
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"market" : "NYSE",
"fileLink" : "Electronic Brokerage Systems, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-091.pdf"
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"name" : "Alan Ben Stevens",
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"market" : "NYSE",
"fileLink" : "Alan Ben Stevens",
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"name" : "Michael Flannelly",
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"market" : "NYSE",
"fileLink" : "Michael Flannelly",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-088.pdf"
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"name" : "Thomas M. Ruddy",
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"market" : "NYSE",
"fileLink" : "Thomas M. Ruddy",
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"name" : "Shane Golden",
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"market" : "NYSE",
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"name" : "Randolph H. Post",
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"market" : "NYSE",
"fileLink" : "Randolph H. Post",
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"name" : "Leonard Joseph Silvester",
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"market" : "NYSE",
"fileLink" : "Leonard Joseph Silvester",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-087.pdf"
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"name" : "Raul Garcia",
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"market" : "NYSE",
"fileLink" : "Raul Garcia",
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"name" : "SG Americas Securities LLC",
"number" : "07-083",
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"market" : "NYSE",
"fileLink" : "SG Americas Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-083.pdf"
}, {
"name" : "Anthony W. Landrum",
"number" : "07-081",
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"market" : "NYSE",
"fileLink" : "Anthony W. Landrum",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-081.pdf"
}, {
"name" : "Lehman Brothers, Inc.",
"number" : "07-079",
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"market" : "NYSE",
"fileLink" : "Lehman Brothers, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-079.pdf"
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"name" : "Michael J. Sherman",
"number" : "07-080",
"decisionAcceptanceDate" : "2007-05-31",
"market" : "NYSE",
"fileLink" : "Michael J. Sherman",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-080.pdf"
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"name" : "Piper Jaffray & Co.",
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"market" : "NYSE",
"fileLink" : "Piper Jaffray & Co.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-082.pdf"
}, {
"name" : "Timothy Brennan Calley",
"number" : "07-077",
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"market" : "NYSE",
"fileLink" : "Timothy Brennan Calley",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-077.pdf"
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"name" : "Christian Lovera",
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"market" : "NYSE",
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"name" : "CMG Institutional Trading, LLC",
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"market" : "NYSE Texas",
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"name" : "Morton E. Wolverton",
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"market" : "NYSE",
"fileLink" : "Morton E. Wolverton",
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"name" : "J.P. Dalton & Associates, Inc.",
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"market" : "NYSE",
"fileLink" : "J.P. Dalton & Associates, Inc.",
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"name" : "James P. Dalton",
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"market" : "NYSE",
"fileLink" : "James P. Dalton",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-075.pdf"
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"name" : "Timothy F. Alfano",
"number" : "07-071",
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"market" : "NYSE",
"fileLink" : "Timothy F. Alfano",
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"name" : "Andrew Grundhoefer",
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"market" : "NYSE",
"fileLink" : "Andrew Grundhoefer",
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"name" : "SDS Securities Corp.",
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"market" : "NYSE",
"fileLink" : "SDS Securities Corp.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2007/07-069.pdf"
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"name" : "Sean D. Seigel",
"number" : "07-070",
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"market" : "NYSE",
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"name" : "Destiny Lull",
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"name" : "HBH Specialists LLC",
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"name" : "Michael Cunningham Young",
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"name" : "Technology Partners",
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"name" : "Sam Tompkins Walter, Jr.",
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"name" : "Michael W. Brinton",
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"name" : "Mark A. Otte",
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"name" : "Crowell, Weedon & Co.",
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"name" : "Anthony Coniglio",
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"name" : "HLA Securities, Inc.",
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"name" : "Robert E. Miller",
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"name" : "Gustavo Flavio Lichtmajer",
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"name" : "Wedbush Morgan Securities, Inc",
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"name" : "Michael Melendez",
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"name" : "Kevin Gaspar Haggerty",
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"name" : "Victoria R. LeBaron",
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"name" : "Danielle S. August",
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"name" : "RBC Dain Rauscher, Inc.",
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"name" : "Jarred Gerome Sutton",
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"name" : "Ann I. Allen",
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"name" : "Sea Securities, LLC",
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"name" : "Bruce Kaminski",
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"name" : "Thomas Donald Brown",
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"name" : "Mitchell Levine",
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"name" : "Thomas Woodley Heath, III",
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"name" : "Goldman Sachs Execution & Clearing, L.P. f/k/a Spear, Leeds & Kellogg, L.P.",
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"name" : "Ralph Peregoy",
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"name" : "Morgan Stanley & Co., Inc.",
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"name" : "Bishop Rosen & Co., Inc.",
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"name" : "William Kevin Blount",
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"name" : "Susan Louise McNiel",
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"name" : "Fishman & Leder, Inc.",
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"name" : "Joseph A. Sangimino, Inc.",
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"name" : "Neil John Scarfuto, Sr.",
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"name" : "Anabelle Lorena Kastan",
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"name" : "Seth E. Janowiak",
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"name" : "Goldman, Sachs & Co.",
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"name" : "LaBranche Financial Services, Inc.",
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"name" : "Lehman Brothers Inc.",
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"name" : "Piper Jaffray & Co.",
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"name" : "Preferred Trade Inc.",
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"name" : "Southwest Securities, Inc.",
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"market" : "NYSE",
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"name" : "Charles Schwab & Co., Inc.",
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"name" : "SunGard Global Execution Services LLC",
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"name" : "Arthur James Niebauer",
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"name" : "Warren Turk",
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"name" : "Gary E. Goulding",
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"name" : "Carl A. Carlson",
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"name" : "Derek J. Reynolds",
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"name" : "William John Stevens",
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"name" : "David H. Becerra",
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"name" : "Man Financial Inc., n/k/a Man Securities Inc.",
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"name" : "Richard Prim",
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"name" : "Michael Anthony Conti",
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"name" : "Ronald Samuel Juster",
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"market" : "NYSE",
"fileLink" : "E*Trade Clearing LLC",
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"market" : "NYSE",
"fileLink" : "Maria Adriana Cordova",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-116.pdf"
}, {
"name" : "Suzanne Marie Forcher",
"number" : "05-117",
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"market" : "NYSE",
"fileLink" : "Suzanne Marie Forcher",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-117.pdf"
}, {
"name" : "Raymond Burton",
"number" : "05-115",
"decisionAcceptanceDate" : "2005-10-19",
"market" : "NYSE",
"fileLink" : "Raymond Burton",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-115.pdf"
}, {
"name" : "Sapphire Partners, LLC",
"number" : "02-29",
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"market" : "NYSE American",
"fileLink" : "Sapphire Partners, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/SapphirePartnersLLC_Decision_101805.pdf"
}, {
"name" : "Charles Schwab & Co., Inc.",
"number" : "05-110",
"decisionAcceptanceDate" : "2005-10-17",
"market" : "NYSE",
"fileLink" : "Charles Schwab & Co., Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-110.pdf"
}, {
"name" : "Nomura Securities International, Inc.",
"number" : "05-111",
"decisionAcceptanceDate" : "2005-10-17",
"market" : "NYSE",
"fileLink" : "Nomura Securities International, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-111.pdf"
}, {
"name" : "Nomura Securities International Inc.",
"number" : "05-112",
"decisionAcceptanceDate" : "2005-10-17",
"market" : "NYSE",
"fileLink" : "Nomura Securities International Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-112.pdf"
}, {
"name" : "Hillgrove Securities, LLC - Order of Suspension Lifted",
"number" : "D-05-14 (Amended)",
"decisionAcceptanceDate" : "2005-10-06",
"market" : "NYSE Texas",
"fileLink" : "Hillgrove Securities, LLC - Order of Suspension Lifted",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2005/D-05-14_Hillgrove_Securities_LLC_order.pdf"
}, {
"name" : "Frank J. Furino",
"number" : "05-113",
"decisionAcceptanceDate" : "2005-09-30",
"market" : "NYSE",
"fileLink" : "Frank J. Furino",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-113.pdf"
}, {
"name" : "Wall Street Discount Corporation",
"number" : "05-109",
"decisionAcceptanceDate" : "2005-09-29",
"market" : "NYSE",
"fileLink" : "Wall Street Discount Corporation",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-109.pdf"
}, {
"name" : "Lehman Brothers Inc.",
"number" : "05-108",
"decisionAcceptanceDate" : "2005-09-29",
"market" : "NYSE",
"fileLink" : "Lehman Brothers Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-108.pdf"
}, {
"name" : "Adam C. Lenneberg",
"number" : "05-149",
"decisionAcceptanceDate" : "2005-09-29",
"market" : "NYSE American",
"fileLink" : "Adam C. Lenneberg",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/Lenneberg_Decision_092905.pdf"
}, {
"name" : "Headwaters Capital, LLC",
"number" : "04-198",
"decisionAcceptanceDate" : "2005-09-29",
"market" : "NYSE American",
"fileLink" : "Headwaters Capital, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/HeadwatersCapitalLLC_Decision_092905.pdf"
}, {
"name" : "Timber Hill, LLC",
"number" : "03-50",
"decisionAcceptanceDate" : "2005-09-29",
"market" : "NYSE American",
"fileLink" : "Timber Hill, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/TimberHillLLC_Decision_092905.pdf"
}, {
"name" : "Hillgrove Securities, LLC - Order of Suspension",
"number" : "D-05-14 (Suspension)",
"decisionAcceptanceDate" : "2005-09-26",
"market" : "NYSE Texas",
"fileLink" : "Hillgrove Securities, LLC - Order of Suspension",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2005/D-05-14_Hillgrove_Securities_LLC_suspension.pdf"
}, {
"name" : "Citigroup Global Markets, Inc.",
"number" : "03-11 and 03-12",
"decisionAcceptanceDate" : "2005-09-22",
"market" : "NYSE American",
"fileLink" : "Citigroup Global Markets, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/CitigroupGlobalMarkets_Decision_092205.pdf"
}, {
"name" : "Rosemarie Berrow",
"number" : "05-105",
"decisionAcceptanceDate" : "2005-09-19",
"market" : "NYSE",
"fileLink" : "Rosemarie Berrow",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-105.pdf"
}, {
"name" : "Mitchell Allan Romano",
"number" : "05-106",
"decisionAcceptanceDate" : "2005-09-19",
"market" : "NYSE",
"fileLink" : "Mitchell Allan Romano",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-106.pdf"
}, {
"name" : "Kimberly A. Vonduhn",
"number" : "05-107",
"decisionAcceptanceDate" : "2005-09-19",
"market" : "NYSE",
"fileLink" : "Kimberly A. Vonduhn",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-107.pdf"
}, {
"name" : "CMG Institutional Trading, LLC - Order of Suspension",
"number" : "D-05-13 (Suspension)",
"decisionAcceptanceDate" : "2005-09-07",
"market" : "NYSE Texas",
"fileLink" : "CMG Institutional Trading, LLC - Order of Suspension",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2005/D-05-13_CMG_Institutional_Trading_LLC_suspension.pdf"
}, {
"name" : "First Capital Alliance and Henry Chu",
"number" : "D-05-12",
"decisionAcceptanceDate" : "2005-09-02",
"market" : "NYSE Texas",
"fileLink" : "First Capital Alliance and Henry Chu",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2005/D-05-12_First_Capital_Alliance_and_Henry_Chu.pdf"
}, {
"name" : "Odd Lot Execution Services, LLC",
"number" : "D-05-11",
"decisionAcceptanceDate" : "2005-09-02",
"market" : "NYSE Texas",
"fileLink" : "Odd Lot Execution Services, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2005/D-05-11_Odd_Lot_Execution_Services.pdf"
}, {
"name" : "Kevin Dougherty",
"number" : "D-05-10",
"decisionAcceptanceDate" : "2005-09-02",
"market" : "NYSE Texas",
"fileLink" : "Kevin Dougherty",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2005/D-05-10_Kevin_Dougherty.pdf"
}, {
"name" : "John E. Wheeler",
"number" : "03-05",
"decisionAcceptanceDate" : "2005-08-30",
"market" : "NYSE American",
"fileLink" : "John E. Wheeler",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/Wheeler_Decision_083005.pdf"
}, {
"name" : "George Aliermo and JRS Trading LLC",
"number" : "03-55",
"decisionAcceptanceDate" : "2005-08-30",
"market" : "NYSE American",
"fileLink" : "George Aliermo and JRS Trading LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/Aliermo_JRSTrading_Decision_083005.pdf"
}, {
"name" : "Schonfeld Securities, LLC",
"number" : "03-04a",
"decisionAcceptanceDate" : "2005-08-30",
"market" : "NYSE American",
"fileLink" : "Schonfeld Securities, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/Schonfeld_Decision_083005.pdf"
}, {
"name" : "Marlena D. Greth",
"number" : "05-096",
"decisionAcceptanceDate" : "2005-08-29",
"market" : "NYSE",
"fileLink" : "Marlena D. Greth",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-096.pdf"
}, {
"name" : "Thomas Gerard McNamara",
"number" : "05-095",
"decisionAcceptanceDate" : "2005-08-29",
"market" : "NYSE",
"fileLink" : "Thomas Gerard McNamara",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-095.pdf"
}, {
"name" : "Joseph Edward Herndon",
"number" : "05-097",
"decisionAcceptanceDate" : "2005-08-29",
"market" : "NYSE",
"fileLink" : "Joseph Edward Herndon",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-097.pdf"
}, {
"name" : "Chaim Rieger",
"number" : "05-092",
"decisionAcceptanceDate" : "2005-08-24",
"market" : "NYSE",
"fileLink" : "Chaim Rieger",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-092.pdf"
}, {
"name" : "Marcus D. Braden",
"number" : "05-093",
"decisionAcceptanceDate" : "2005-08-24",
"market" : "NYSE",
"fileLink" : "Marcus D. Braden",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-093.pdf"
}, {
"name" : "Robert L. Cram",
"number" : "05-094",
"decisionAcceptanceDate" : "2005-08-24",
"market" : "NYSE",
"fileLink" : "Robert L. Cram",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-094.pdf"
}, {
"name" : "Susan Jean Elvendahl",
"number" : "05-091",
"decisionAcceptanceDate" : "2005-08-22",
"market" : "NYSE",
"fileLink" : "Susan Jean Elvendahl",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-091.pdf"
}, {
"name" : "Howard A. Rosencrans",
"number" : "05-090",
"decisionAcceptanceDate" : "2005-08-22",
"market" : "NYSE",
"fileLink" : "Howard A. Rosencrans",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-090.pdf"
}, {
"name" : "Brean Murray & Co., Inc.",
"number" : "05-081",
"decisionAcceptanceDate" : "2005-08-05",
"market" : "NYSE",
"fileLink" : "Brean Murray & Co., Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-081-082.pdf"
}, {
"name" : "Mooors & Cabot, Inc.",
"number" : "05-083",
"decisionAcceptanceDate" : "2005-08-05",
"market" : "NYSE",
"fileLink" : "Mooors & Cabot, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-083.pdf"
}, {
"name" : "Kenneth John Kirsch II",
"number" : "05-082",
"decisionAcceptanceDate" : "2005-08-05",
"market" : "NYSE",
"fileLink" : "Kenneth John Kirsch II",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-081-082.pdf"
}, {
"name" : "Andrew Davis Mills",
"number" : "05-088",
"decisionAcceptanceDate" : "2005-08-05",
"market" : "NYSE",
"fileLink" : "Andrew Davis Mills",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-088.pdf"
}, {
"name" : "Troy Richard Menzel",
"number" : "05-089",
"decisionAcceptanceDate" : "2005-08-05",
"market" : "NYSE",
"fileLink" : "Troy Richard Menzel",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-089.pdf"
}, {
"name" : "Raj Singhal",
"number" : "05-080",
"decisionAcceptanceDate" : "2005-07-26",
"market" : "NYSE",
"fileLink" : "Raj Singhal",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-080.pdf"
}, {
"name" : "Fogel Group LLC",
"number" : "04-253",
"decisionAcceptanceDate" : "2005-07-22",
"market" : "NYSE American",
"fileLink" : "Fogel Group LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/Fogel_Decision_072205.pdf"
}, {
"name" : "Teton Trading, LLC",
"number" : "04-181",
"decisionAcceptanceDate" : "2005-07-22",
"market" : "NYSE American",
"fileLink" : "Teton Trading, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/Teton_Decision_072205.pdf"
}, {
"name" : "KELLOGG Capital Group, LLC",
"number" : "04-222",
"decisionAcceptanceDate" : "2005-07-22",
"market" : "NYSE American",
"fileLink" : "KELLOGG Capital Group, LLC",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/KELLOGG_Decision_072205.pdf"
}, {
"name" : "Merrill Lynch, Pierce, Fenner & Smith, Incorporated",
"number" : "05-087",
"decisionAcceptanceDate" : "2005-07-21",
"market" : "NYSE",
"fileLink" : "Merrill Lynch, Pierce, Fenner & Smith, Incorporated",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-087.pdf"
}, {
"name" : "Scott E. Langfitt",
"number" : "05-085",
"decisionAcceptanceDate" : "2005-07-21",
"market" : "NYSE",
"fileLink" : "Scott E. Langfitt",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-085.pdf"
}, {
"name" : "Russell Orin Gulamerian",
"number" : "05-086",
"decisionAcceptanceDate" : "2005-07-21",
"market" : "NYSE",
"fileLink" : "Russell Orin Gulamerian",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-086.pdf"
}, {
"name" : "Michael G. Powers",
"number" : "03-52",
"decisionAcceptanceDate" : "2005-07-08",
"market" : "NYSE American",
"fileLink" : "Michael G. Powers",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/MichaelGPowers_Decision_070805.pdf"
}, {
"name" : "Stephen Peter Luscko",
"number" : "05-079",
"decisionAcceptanceDate" : "2005-07-06",
"market" : "NYSE",
"fileLink" : "Stephen Peter Luscko",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-079.pdf"
}, {
"name" : "John Y. Buck",
"number" : "05-052",
"decisionAcceptanceDate" : "2005-06-30",
"market" : "NYSE",
"fileLink" : "John Y. Buck",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-052.pdf"
}, {
"name" : "Salvatore & Co., Inc. Order",
"number" : "D-05-07",
"decisionAcceptanceDate" : "2005-06-24",
"market" : "NYSE Texas",
"fileLink" : "Salvatore & Co., Inc. Order",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2005/D-05-07_Salvatore_Co_Order.pdf"
}, {
"name" : "Cohen, Duffy, McGowan & Co., LLP and Thomas Wales",
"number" : "03-43",
"decisionAcceptanceDate" : "2005-06-23",
"market" : "NYSE American",
"fileLink" : "Cohen, Duffy, McGowan & Co., LLP and Thomas Wales",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/CohenDuffyMcGowan_Wales_Decision_062305.pdf"
}, {
"name" : "Vector Magnitude Funds, LLC and Michael J. McNamara",
"number" : "03-101",
"decisionAcceptanceDate" : "2005-06-20",
"market" : "NYSE American",
"fileLink" : "Vector Magnitude Funds, LLC and Michael J. McNamara",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/Vector_McNamara_Decision_062005.pdf"
}, {
"name" : "Karen Kelsch",
"number" : "05-076",
"decisionAcceptanceDate" : "2005-06-16",
"market" : "NYSE",
"fileLink" : "Karen Kelsch",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-076.pdf"
}, {
"name" : "Daniel Seth Peterson",
"number" : "05-077",
"decisionAcceptanceDate" : "2005-06-16",
"market" : "NYSE",
"fileLink" : "Daniel Seth Peterson",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-077.pdf"
}, {
"name" : "Robert Burns",
"number" : "05-075",
"decisionAcceptanceDate" : "2005-06-16",
"market" : "NYSE",
"fileLink" : "Robert Burns",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-075.pdf"
}, {
"name" : "Mercer Cook, III",
"number" : "05-068",
"decisionAcceptanceDate" : "2005-06-13",
"market" : "NYSE",
"fileLink" : "Mercer Cook, III",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-068.pdf"
}, {
"name" : "Jennifer Hiyashi",
"number" : "05-069",
"decisionAcceptanceDate" : "2005-06-13",
"market" : "NYSE",
"fileLink" : "Jennifer Hiyashi",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-069.pdf"
}, {
"name" : "Maria J. Malito",
"number" : "05-070",
"decisionAcceptanceDate" : "2005-06-13",
"market" : "NYSE",
"fileLink" : "Maria J. Malito",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-070.pdf"
}, {
"name" : "Michael C. Hirschi",
"number" : "05-003",
"decisionAcceptanceDate" : "2005-06-10",
"market" : "NYSE",
"fileLink" : "Michael C. Hirschi",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-003.pdf"
}, {
"name" : "Cheevers & Co., Inc. Order",
"number" : "D-05-08",
"decisionAcceptanceDate" : "2005-06-09",
"market" : "NYSE Texas",
"fileLink" : "Cheevers & Co., Inc. Order",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2005/D-05-08_Cheevers_Co_Inc_Order.pdf"
}, {
"name" : "Chicago Securities L.P. Order",
"number" : "D-05-09",
"decisionAcceptanceDate" : "2005-06-09",
"market" : "NYSE Texas",
"fileLink" : "Chicago Securities L.P. Order",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2005/D-05-09_Chicago_Securities_Order.pdf"
}, {
"name" : "Kari Marie Lindsey",
"number" : "05-078",
"decisionAcceptanceDate" : "2005-06-06",
"market" : "NYSE",
"fileLink" : "Kari Marie Lindsey",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-078.pdf"
}, {
"name" : "Keith Allen Carvell",
"number" : "05-073",
"decisionAcceptanceDate" : "2005-06-06",
"market" : "NYSE",
"fileLink" : "Keith Allen Carvell",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-073.pdf"
}, {
"name" : "Thomas Mitchell Forbes",
"number" : "05-071",
"decisionAcceptanceDate" : "2005-06-06",
"market" : "NYSE",
"fileLink" : "Thomas Mitchell Forbes",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-071.pdf"
}, {
"name" : "Richard Paul Ziegler",
"number" : "05-072",
"decisionAcceptanceDate" : "2005-06-06",
"market" : "NYSE",
"fileLink" : "Richard Paul Ziegler",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-072.pdf"
}, {
"name" : "ABN AMRO Incorporated",
"number" : "05-066",
"decisionAcceptanceDate" : "2005-06-03",
"market" : "NYSE",
"fileLink" : "ABN AMRO Incorporated",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-066.pdf"
}, {
"name" : "ABN AMRO Securities LLC",
"number" : "05-067",
"decisionAcceptanceDate" : "2005-06-03",
"market" : "NYSE",
"fileLink" : "ABN AMRO Securities LLC",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-067.pdf"
}, {
"name" : "Preferred Trade, Inc.",
"number" : "05-046",
"decisionAcceptanceDate" : "2005-05-25",
"market" : "NYSE",
"fileLink" : "Preferred Trade, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-046.pdf"
}, {
"name" : "William Walter Jackson, IV",
"number" : "05-060",
"decisionAcceptanceDate" : "2005-05-24",
"market" : "NYSE",
"fileLink" : "William Walter Jackson, IV",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-060.pdf"
}, {
"name" : "Eric P. Steffens",
"number" : "05-061",
"decisionAcceptanceDate" : "2005-05-24",
"market" : "NYSE",
"fileLink" : "Eric P. Steffens",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-061.pdf"
}, {
"name" : "Kenneth Harley Haas",
"number" : "05-063",
"decisionAcceptanceDate" : "2005-05-23",
"market" : "NYSE",
"fileLink" : "Kenneth Harley Haas",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-063.pdf"
}, {
"name" : "Michael Pelham",
"number" : "05-064",
"decisionAcceptanceDate" : "2005-05-23",
"market" : "NYSE",
"fileLink" : "Michael Pelham",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-064.pdf"
}, {
"name" : "Richard T. Bennett",
"number" : "05-065",
"decisionAcceptanceDate" : "2005-05-23",
"market" : "NYSE",
"fileLink" : "Richard T. Bennett",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2005/05-065.pdf"
}, {
"name" : "Christian Buck",
"number" : "04-187",
"decisionAcceptanceDate" : "2005-05-23",
"market" : "NYSE American",
"fileLink" : "Christian Buck",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/ChristianBuck_Decision_052305.pdf"
}, {
"name" : "Lehman Brothers, Inc.",
"number" : "04-217",
"decisionAcceptanceDate" : "2005-05-23",
"market" : "NYSE American",
"fileLink" : "Lehman Brothers, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2005/Lehman_Decision_052305.pdf"
}, {
"name" : "ATD Specialists LLC Order",
"number" : "D-05-05",
"decisionAcceptanceDate" : "2005-05-22",
"market" : "NYSE Texas",
"fileLink" : "ATD Specialists LLC Order",
"fileName" : "/publicdocs/nyse/markets/nyse-texas/disciplinary-actions/2005/D-05-05_ATD_Specialists_LLC_Order.pdf"
}, {
"name" : "E*Trade Capital Market - Execution Services LLC Order",
"number" : "D-05-01",
"decisionAcceptanceDate" : "2005-05-22",
"market" : "NYSE Texas",
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"name" : "Luis A. Delacruz",
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"name" : "Mary Letitia Sheehan",
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"name" : "Shawn R. Blankenship",
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"name" : "Gary Duane Steiner",
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"name" : "George Orlando Morales",
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"name" : "George Richard Fallica",
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"name" : "Steven A. Kempenich",
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"fileLink" : "Steven A. Kempenich",
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"name" : "Steven Joseph Lamantia",
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"market" : "NYSE",
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"name" : "Scott David Sutherland",
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"market" : "NYSE",
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}, {
"name" : "Kenneth Rogers",
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"market" : "NYSE",
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"name" : "Geraldine Larae Tyes",
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"market" : "NYSE",
"fileLink" : "Geraldine Larae Tyes",
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}, {
"name" : "Steven Edward Wenzel",
"number" : "04-022",
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"market" : "NYSE",
"fileLink" : "Steven Edward Wenzel",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2004/04-022.pdf"
}, {
"name" : "Anthony H. Soriano",
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"market" : "NYSE",
"fileLink" : "Anthony H. Soriano",
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}, {
"name" : "Eric B. Oscher",
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"market" : "NYSE",
"fileLink" : "Eric B. Oscher",
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}, {
"name" : "Z Inc.",
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}, {
"name" : "Rock Island Securities, Inc.",
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"fileLink" : "Rock Island Securities, Inc.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2004/04-017.pdf"
}, {
"name" : "Daniel Izhaky",
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"market" : "NYSE",
"fileLink" : "Daniel Izhaky",
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}, {
"name" : "SunTrust Capital Markets, Inc.",
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"market" : "NYSE",
"fileLink" : "SunTrust Capital Markets, Inc.",
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}, {
"name" : "James Francis Rennie",
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"market" : "NYSE",
"fileLink" : "James Francis Rennie",
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"name" : "Celeste Owens",
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"market" : "NYSE",
"fileLink" : "Celeste Owens",
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}, {
"name" : "Jacob H. Loeffler",
"number" : "04-013",
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"market" : "NYSE",
"fileLink" : "Jacob H. Loeffler",
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}, {
"name" : "Joseph Henry Pratt",
"number" : "04-011",
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"market" : "NYSE",
"fileLink" : "Joseph Henry Pratt",
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}, {
"name" : "Charles Harry Eisenhuth",
"number" : "04-010",
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"market" : "NYSE",
"fileLink" : "Charles Harry Eisenhuth",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2004/04-010.pdf"
}, {
"name" : "Dominic Alex Alvarez",
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"market" : "NYSE",
"fileLink" : "Dominic Alex Alvarez",
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}, {
"name" : "Bobby O. Ajiboye",
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"market" : "NYSE",
"fileLink" : "Bobby O. Ajiboye",
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}, {
"name" : "J.J. Dalessandro II Ltd.",
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"name" : "Thomas A. Caterina",
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"name" : "Helfant Group, Inc.",
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"name" : "The Williams Capital Group, L.P.",
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}, {
"name" : "SG Cowen Securities Corporation",
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"market" : "NYSE",
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"fileLink" : "Christopher Cahillane",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2003/03-231.pdf"
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"name" : "Joseph R. Guissari",
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"market" : "NYSE American",
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"fileName" : "/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2003/Guissari_Decision_122903.pdf"
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"name" : "Michael Fuller",
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"fileLink" : "Michael Fuller",
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"name" : "Dennis Gaylin",
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"fileLink" : "Dennis Gaylin",
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"name" : "Mai N. Nguyen",
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"fileLink" : "Mai N. Nguyen",
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"fileLink" : "Michael Kelly",
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"name" : "Gary Costello",
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"name" : "George J. Swindasz, Jr.",
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"fileLink" : "George J. Swindasz, Jr.",
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"name" : "Robert D. Bewkes, Sr.",
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"market" : "NYSE",
"fileLink" : "Robert D. Bewkes, Sr.",
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"name" : "Allison Elaine Armstrong",
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"market" : "NYSE",
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}, {
"name" : "Brianna Lynelle Westerman",
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"market" : "NYSE",
"fileLink" : "Brianna Lynelle Westerman",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2003/03-227.pdf"
}, {
"name" : "Timothy Richard Clancy",
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"market" : "NYSE",
"fileLink" : "Timothy Richard Clancy",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2003/03-230.pdf"
}, {
"name" : "Carolynn B. Wheeler",
"number" : "03-229",
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"market" : "NYSE",
"fileLink" : "Carolynn B. Wheeler",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2003/03-229.pdf"
}, {
"name" : "Gary D. Sullins",
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"fileLink" : "Gary D. Sullins",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2003/03-228.pdf"
}, {
"name" : "Deutsche Bank Securities Inc.",
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"market" : "NYSE",
"fileLink" : "Deutsche Bank Securities Inc.",
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}, {
"name" : "Martin Scott Sands",
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"market" : "NYSE",
"fileLink" : "Martin Scott Sands",
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}, {
"name" : "First Manhattan Co.",
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"market" : "NYSE",
"fileLink" : "First Manhattan Co.",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2003/03-223.pdf"
}, {
"name" : "Morgan Stanley & Co. Incorporated",
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"fileLink" : "Morgan Stanley & Co. Incorporated",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2003/03-224.pdf"
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"name" : "David P. Gardner",
"number" : "03-220",
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"market" : "NYSE",
"fileLink" : "David P. Gardner",
"fileName" : "/publicdocs/nyse/markets/nyse/disciplinary-actions/2003/03-220.pdf"
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"name" : "Andrew Strasser",
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"fileLink" : "Andrew Strasser",
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"name" : "Stephen Thomas Palmer",
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"name" : "Robert Faulkner",
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"name" : "Russell Y. Macomber",
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