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Disciplinary Actions

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August 05, 2020
MIAX Options DA 2017053508806
Notice of Letter of Consent No. 2017053508806 Morgan Stanley & Co., LLC
VIEW DOCUMENT
June 10, 2020
MIAX Options DA 2018057173402
Notice of Letter of Consent No. 2018057173402 Susquehanna Investment Group
VIEW DOCUMENT
June 10, 2020
MIAX Options DA 2015048329301
Notice of Letter of Consent No. 2015048329301 Morgan Stanley & Co. LLC
VIEW DOCUMENT
February 21, 2019
MIAX Options DA 2015047505806
Notice of Letter of Consent No. 2015047505806 Susquehanna Securities
VIEW DOCUMENT
February 21, 2019
MIAX Options DA 2014042222602
Notice of Letter of Consent No. 2014042222602 Apex Clearing Corporation
VIEW DOCUMENT
September 26, 2018
MIAX Options DA 20140411279 03
Notice of Letter of Consent No. 20140411279-03 Merrill Lynch, Pierce, Fenner & Smith Incorporated
VIEW DOCUMENT
August 23, 2018
MIAX Options DA 20120346239 04
Notice of Letter of Consent No. 20120346239 for Morgan Stanley & Co. LLC
VIEW DOCUMENT
May 24, 2018
MIAX Options DA 20130364720-03
Notice of Letter of Consent No. 20130364720-03 for Barclays Capital Inc.
VIEW DOCUMENT
December 21, 2016
MIAX Options DA 20140418701 04

Notice of Letter of Consent No. 20140418701-04 for Automated Trading Desk Financial Services, LLC

VIEW DOCUMENT
October 28, 2016
MIAX Options DA 20140438298
Notice of Letter of Consent No. 20140438298 for Wolverine Trading LLC
VIEW DOCUMENT
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