CFE Disciplinary Decisions

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  • Year: 

     

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 15-0023 JP Morgan Securities ,LLC 
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May 25, 2016:   CFE 15-0018 Clover Light LLC 
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March 30, 2016:   CFE 16-0001 HTG Capital Partners LLC 
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December 14, 2015:   CFE 15-0019 Barclays Capital Inc. 
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December 14, 2015:   CFE 15-0017 Sun Trading LLC 
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