2013 PHLX Disciplinary Actions

resource link:  http://www.nasdaqtrader.com/Micro.aspx?id=phlxdisciplinaryactions 

 

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PHLX Disciplinary Actions

2013

Enforcement No. Title Date
2013-04 Notice of Disciplinary Action Against UBS Securities, LLC, a Member Organization 6/10/2013 
2013-03 Notice of Disciplinary Action Against Cowen and Company, LLC, a Member Organization 6/10/2013 
2013-02 Notice of Disciplinary Action Against Cutler Group, LP, a Member Organization 6/10/2013 
2012-10 Notice of Disciplinary Action Against Rosenbaum Capital, LLC, a former Member Organization, and Jonathan Levene, a former Associated Person of Rosenbaum Capital, LLC 4/03/13 
2013-01 Notice of Disciplinary Action Against PTR, Inc. (“PTR” or the “Firm”), a member organization of the NASDAQ OMX PHLX LLC (“PHLX” or the “Exchange”). 4/01/13 
2012-12 Notice of Disciplinary Action Against Bullock Trading LP, a former Member Organization, and Jason Ferrari, a former Associated Person of Bullock Trading LP 3/26/13 
2012-16 Notice of Disciplinary Action Against Cutler Group, LP, a Member Organization 1/3/13
2012-13

2012-15

Notice of Disciplinary Action Against J.A.K. Securities, Inc., a Member Organization 1/3/13
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