CFE Disciplinary Decisions

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January 02, 2018:   CFE 17-0010 DRW Securities LLC 
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October 24, 2017:   CFE 17-0007 HSBC Trinkaus & Burkhardt AG 
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August 23, 2017:   CFE17-0005 Deutsche Bank Securities Inc. 
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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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