CFE Disciplinary Decisions

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March 30, 2017:   CFE 17-0004 Hauck & Aufhauser Privatbankiers KGaA 
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February 28, 2017:   CFE 17-0003 Deutsche Bank Securities Inc. 
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February 28, 2017:   CFE 17-0002 Quanta Finance SA 
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February 28, 2017:   CFE 17-0001 Pacific Liberty SPC 
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November 30, 2016:   CFE 16-0006 Sumo Capital LLC 
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November 30, 2016:   CFE 16-0005 Virtu Financial BD LLC 
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November 30, 2016:   CFE 16-0003 Locust Walk Trading LLC 
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June 28, 2016:   CFE 16-0002 Frank Cerisano 
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June 28, 2016:   CFE 15-0003 Morgan Stanley & Co. LLC and Ari D. Litan 
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May 25, 2016:   CFE 15-0018 Clover Light LLC 
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