Nasdaq Market Regulation

U.S. Disciplinary Actions

Disciplinary Actions By Year

2026

| Date | Market | Case Number | Name |
| --- | --- | --- | --- |
| 2026-02-25 | NQ | 2024.01.0440 | IMC Chicago |
| 2026-02-25 | ISE | 2022.12.0417 | IMC Chicago |
| 2026-02-25 | GEMX | 2022.12.0417 | IMC Chicago |
| 2026-02-25 | MRX | 2022.12.0417 | IMC Chicago |
| 2026-02-25 | NOM | 2022.12.0417 | IMC Chicago |
| 2026-02-03 | PHLX | 2019063047811 | Instinet, LLC |
| 2026-02-03 | BX | 2019063047810 | Instinet, LLC |
| 2026-02-03 | NQ | 2019063047809 | Instinet, LLC |
| 2026-01-21 | NQ | 2020066700204 | Virtu Americas LLC |
| 2026-01-16 | NQ | 2023077018901 | Lightspeed Financial Services Group LLC |

2025

| Date | Market | Case Number | Name |
| --- | --- | --- | --- |
| 2025-12-30 | NQ | 2020068424202 | A.G.P./Alliance Global Partners, LLC |
| 2025-12-22 | BX | 2017056726203 | Credit Suisse Securities (USA) LLC |
| 2025-12-22 | NOM | 2017056726202 | Credit Suisse Securities (USA) LLC |
| 2025-12-22 | NQ | 2017056726204 | Credit Suisse Securities (USA) LLC |
| 2025-12-22 | PHLX | 2017056726202 | Credit Suisse Securities (USA) LLC |
| 2025-12-17 | PHLX | 2023.03.0427 | TP ICAP Global Markets LLC |
| 2025-12-03 | NQ | 2022.11.0413 | Interactive Brokers LLC |
| 2025-11-21 | NQ | 2018057277202 | Virtu Americas LLC |
| 2025-11-21 | PHLX | 2018057277204 | Virtu Americas LLC |
| 2025-11-21 | BX | 2018057277203 | Virtu Americas LLC |
| 2025-11-13 | PHLX | 2022076059701 | Bluefin Capital Management, LLC |
| 2025-10-27 | NQ | 2024.01.0439 | Celadon Financial Group, LLC |
| 2025-09-30 | NQ | 2020066741311 | Velocity Clearing, LLC |
| 2025-09-30 | BX | 2020066741312 | Velocity Clearing, LLC |
| 2025-09-30 | PHLX | 2020066741313 | Velocity Clearing, LLC |
| 2025-09-30 | NOM | 2022075164205 | Interactive Brokers LLC |
| 2025-09-30 | BX | 2022075164201 | Interactive Brokers LLC |
| 2025-09-30 | GEMX | 2022075164202 | Interactive Brokers LLC |
| 2025-09-30 | ISE | 2022075164203 | Interactive Brokers LLC |
| 2025-09-30 | MRX | 2022075164204 | Interactive Brokers LLC |
| 2025-09-30 | PHLX | 2022075164206 | Interactive Brokers LLC |
| 2025-07-28 | PHLX | 2022.10.0406 | Jane Street Options, LLC |
| 2025-07-18 | NOM | 2021.08.0337 | Virtu Americas LLC |
| 2025-07-18 | PHLX | 2021.08.0337 | Virtu Americas LLC |
| 2025-07-08 | NQ | 2020068547302 | Cantor Fitzgerald & Co. |
| 2025-06-16 | PHLX | 2022073416102 | BNP Paribas Securities Corp. |
| 2025-06-10 | PHLX | 20220766175 | Nomura Securities International, Inc. |
| 2025-05-29 | GEMX | 2021072379312 | Barclays Capital Inc. |
| 2025-05-29 | ISE | 2021072379313 | Barclays Capital Inc. |
| 2025-05-29 | MRX | 2021072379314 | Barclays Capital Inc. |
| 2025-05-29 | BX | 2021072379311 | Barclays Capital Inc. |
| 2025-05-29 | NOM | 2021072379315 | Barclays Capital Inc. |
| 2025-05-29 | PHLX | 2021072379316 | Barclays Capital Inc. |
| 2025-05-13 | BX | 2023.11.0424 | Optiver US, LLC |
| 2025-04-30 | ISE | 2022.10.0408 | DRW Securities, LLC |
| 2025-04-30 | PHLX | 2022.10.0408 | DRW Securities, LLC |
| 2025-04-25 | PHLX | 2025.03.0458 | BofA Securities, Inc. |
| 2025-04-04 | NQ | 2021072004802 | TP ICAP Global Markets Americas LLC |
| 2025-04-24 | PHLX | 2023.06.0435 | Susquehanna Securities LLC |
| 2025-04-22 | NQ | 2019062225602 | SpeedRoute LLC |
| 2025-04-21 | NQ | 2021069491202 | JP Morgan |
| 2025-03-04 | ISE | 2021069329902 | Wells Fargo |
| 2025-02-28 | PHLX | 2021069329903 | Wells Fargo |
| 2025-02-18 | PHLX | 2019061053402 | T3 Trading Group, LLC |
| 2025-01-06 | NQ | 2022.08.0414 | Velox Clearing LLC |

2024

| Date | Market | Case Number | Name |
| --- | --- | --- | --- |
| 2024-12-27 | PHLX | 2020066386506 | Jefferies LLC |
| 2024-12-27 | BX | 2020066386505 | Jefferies LLC |
| 2024-12-27 | NQ | 2020066386502 | Jefferies LLC |
| 2024-11-15 | NQ | 2020.06.0171 | Citigroup Global Markets Inc. |
| 2024-10-31 | NOM | 2022074101001 | Morgan Stanley & Co. LLC |
| 2024-10-31 | GEMX | 2022074101002 | Morgan Stanley & Co. LLC |
| 2024-08-28 | NQ | 2017055087002 | Merrill Lynch, Pierce, Fenner & Smith, Incorporated |
| 2024-08-19 | NQ | 2021.09.0341 | TradeLink Securities, LLC |
| 2024-08-07 | PHLX | 2020067596702 | Barclays Capital, Inc. |
| 2024-07-31 | NQ | 2018060986402 | SpeedTrader, Inc. |
| 2024-05-28 | NQ | 2020066382602 | BofA Securities, Inc. |
| 2024-05-07 | BX | 2021.11.363 | Morgan Stanley & Co LLC |
| 2024-05-07 | PHLX | 2021.11.363 | Morgan Stanley & Co LLC |
| 2024-04-30 | PHLX | 2020067485602 | BofA Securities, Inc. |
| 2024-04-30 | GEMX | 2020067485608 | BofA Securities, Inc. |
| 2024-04-30 | NOM | 2020067485601 | BofA Securities, Inc. |
| 2024-04-30 | ISE | 2020067485607 | BofA Securities, Inc. |
| 2024-04-25 | NQ | 2020.01.0108 | Interactive Brokers LLC |
| 2024-03-13 | NQ | 2019064352202 | GTS Securities LLC |
| 2024-02-06 | NQ | 2019063499507 | Goldman Sachs & Co. LLC |
| 2024-02-06 | BX | 2019063499508 | Goldman Sachs & Co. LLC |
| 2024-02-06 | PHLX | 2019063499509 | Goldman Sachs & Co. LLC |

2023

| Date | Market | Case Number | Name |
| 2023-12-22 | PHLX | 2019061053401 | Brian M. Ladouceur |
| 2023-11-07 | ISE | 20200651148 | Tradition Securities and Derivatives LLC |
| 2023-10-04 | PHLX | 2020.08.0235 | TP ICAP Global Markets, LLC |
| 2023-09-08 | PHLX | 2017055657513 | Electronic Transaction Clearing, Inc. |
| 2023-09-08 | BX | 2017055657512 | Electronic Transaction Clearing, Inc. |
| 2023-09-08 | NQ | 2017055657511 | Electronic Transaction Clearing, Inc. |
| 2023-08-30 | PHLX | 2022.11.0411 | Sumo Capital, LLC |
| 2023-07-19 | ISE | 2019.09.0062 | BGC Financial, L.P. |
| 2023-06-12 | PHLX | 2021.05.0319 | RBC Capital Markets, LLC |
| 2023-06-12 | Nasdaq | 2021.05.0319 | RBC Capital Markets, LLC |
| 2023-05-22 | Nasdaq | 2018058111302 | J.P. Morgan Securities LLC |
| 2023-04-17 | Nasdaq | 2018057188802 | Regal Securities, Inc. |
| 2023-04-04 | PHLX | 2018059146504 | Goldman Sachs & Co. LLC |
| 2023-04-04 | BX | 2018059146503 | Goldman Sachs & Co. LLC |
| 2023-04-04 | Nasdaq | 2018059146502 | Goldman Sachs & Co. LLC |
| 2023-03-30 | ISE | 2022.03.0378 | J.P. Morgan Securities, Inc. |
| 2023-02-15 | NOM | 2019.12.0093 | Deutsche Bank Securities, Inc. |
| 2023-01-19 | PHLX | 2017054491008 | Wedbush Securities Inc. |
| 2023-01-19 | Nasdaq | 2017054491009 | Wedbush Securities Inc. |
| 2023-01-19 | BX | 2017054491007 | Wedbush Securities Inc. |

2022

| Date | Market | Case Number | Name |
| 2022-11-29 | Nasdaq | 2021.05.318 | BofA Securities, Inc. |
| 2022-09-23 | BX | 20180580170-01 | Global Execution Brokers, LP |
| 2022-09-23 | PHLX | 20180580170-06 | Global Execution Brokers, LP |
| 2022-09-23 | NOM | 20180580170-05 | Global Execution Brokers, LP |
| 2022-09-23 | ISE | 20180580170-04 | Global Execution Brokers, LP |
| 2022-09-23 | GEMX | 20180580170-02 | Global Execution Brokers, LP |
| 2022-09-23 | MRX | 20180580170-03 | Global Execution Brokers, LP |
| 2022-09-16 | Nasdaq | 2019061702710 | Vision Financial Markets LLC |
| 2022-09-16 | PSX | 2019061702706 | Vision Financial Markets LLC |
| 2022-09-28 | Nasdaq | 2018056929907 | Morgan Stanley & Co. LLC |
| 2022-08-23 | NOM | 2019061065704 | Jefferies LLC |
| 2022-08-23 | ISE | 2019061065703 | Jefferies LLC |
| 2022-07-25 | Nasdaq | 2020.05.0170 | D.A. Davidson & Co. |
| 2022-07-20 | Nasdaq | 2017053210202 | Sagetrader, LLC |
| 2022-07-20 | PHLX | 2017053210204 | Sagetrader, LLC |
| 2022-07-20 | BX | 2017053210203 | Sagetrader, LLC |
| 2022-07-12 | PHLX | 2019.12.0089 | Wolverine Trading, LLC |
| 2022-07-12 | ISE | 2019.12.0089 | Wolverine Trading, LLC |
| 2022-07-12 | GEMX | 2019.12.0089 | Wolverine Trading, LLC |
| 2022-07-12 | MRX | 2019.12.0089 | Wolverine Trading, LLC |
| 2022-08-23 | PHLX | 2019061065701 | Jefferies LLC |
| 2022-08-23 | GEMX | 2019061065702 | Jefferies LLC |
| 2022-06-29 | Nasdaq | 2015047957002 | T.R. Winston & Company, LLC |
| 2022-06-14 | Nasdaq | 2015045823202 | Stifel, Nicolaus & Company |
| 2022-05-16 | BX | 2018060117902 | Dash Financial Technologies LLC |
| 2022-05-16 | PHLX | 2018060117905 | Dash Financial Technologies LLC |
| 2022-05-16 | NOM | 2018060117901 | Dash Financial Technologies LLC |
| 2022-05-16 | ISE | 2018060117903 | Dash Financial Technologies LLC |
| 2022-05-16 | GEMX | 2018060117904 | Dash Financial Technologies LLC |
| 2022-05-16 | MRX | 2018060117906 | Dash Financial Technologies LLC |
| 2022-05-03 | Nasdaq | 2018058781102 | UBS Securities, LLC |
| 2022-03-02 | Nasdaq | 2015044557301 | Precision Securities |
| 2022-04-18 | NOM | 2020.08.0234 | IMC Financial Markets |
| 2022-04-14 | PHLX | 2019061061105 | Goldman Sachs & Co. LLC |
| 2022-01-14 | Nasdaq | 2020.01.0123 | SpeedRoute LLC |
| 2022-01-10 | Nasdaq | 2014039952902 | E*TRADE Securities LLC |

2021

| Date | Market | Case Number | Name |
| 2021-12-27 | Nasdaq | 2015046278305 | Citadel Securities LLC |
| 2021-12-27 | BX | 2015046278304 | Citadel Securities LLC |
| 2021-12-27 | PHLX | 2015046278301 | Citadel Securities LLC |
| 2021-12-27 | NOM | 2015046278307 | Citadel Securities LLC |
| 2021-12-27 | ISE | 2015046278302 | Citadel Securities LLC |
| 2021-12-27 | GEMX | 2015046278308 | Citadel Securities LLC |
| 2021-12-27 | MRX | 2015046278306 | Citadel Securities LLC |
| 2021-11-19 | NOM | 2020.01.0101 | Citigroup Global Markets, Inc. |
| 2021-10-25 | Nasdaq | 2018059368301 | Roth Capital Partners, LLC |
| 2021-10-09 | PHLX | 2014043121005 | Deutsche Bank Securities Inc. |
| 2021-10-09 | ISE | 2014043121003 | Deutsche Bank Securities Inc. |
| 2021-09-08 | NOM | 2020.11.0260 | Virtu Americas LLC |
| 2021-08-04 | Nasdaq | 2017055996902 | Piper Sandler & Co. (f/k/a Sandler O’Neill & Partners, L.P.) |
| 2021-08-09 | PHLX | 2019.10.0065 | Instinet, LLC |
| 2021-07-22 | PHLX | 2018057172902 | Sumo Capital, LLC |
| 2021-07-21 | PHLX | 2019061058202 | CTC, LLC |
| 2021-07-21 | ISE | 2019061058201 | CTC, LLC |
| 2021-07-28 | Nasdaq | 2015044078202 | CODA Markets. Inc. (f/k/a PDQ ATS. Inc.) |
| 2021-07-28 | BX | 2015044078203 | CODA Markets. Inc. (f/k/a PDQ ATS. Inc.) |
| 2021-05-24 | Nasdaq | 2018057166104 | Wolverine Execution Services, LLC |
| 2021-05-10 | Nasdaq | 2017055595901 | National Financial Services, LLC |
| 2021-05-04 | PHLX | 2016051325702 | Barclays Capital Inc. |
| 2021-05-04 | PHLX | 2016051325702 | Barclays Capital Inc. |
| 2021-04-23 | PHLX | 2019.02.0025 | William McCormack |
| 2021-04-12 | Nasdaq | 2020.01.0096 | Needham & Company, LLC |
| 2021-03-23 | PHLX | 2019.02.0023 | Dash Financial Technologies LLC |
| 2021-03-23 | NOM | 2019.02.0023 | Dash Financial Technologies LLC |
| 2021-03-30 | Nasdaq | 2013038684003 | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| 2021-03-09 | Nasdaq | 2015045017001 | RBC Capital Markets, LLC |
| 2021-01-08 | ISE | 2017052473702 | Louis Capital Markets, LP |

2020

| Date | Market | Case Number | Name |
| 2020-12-02 | Nasdaq | 2020.01.0095 | Paulson Investment Company LLC |
| 2020-10-27 | PHLX | 2019.11.0080 | Walleye Trading LLC |
| 2020-11-03 | PHLX | 2016050292001 | Deutsche Bank Securities Inc. |
| 2020-11-02 | Nasdaq | 2019.10.0074 | Bruyette & Woods, Inc. |
| 2020-09-09 | PHLX | 2018057171902 | Sanford C. Bernstein & Co., LLC |
| 2020-09-01 | Nasdaq | 2019.06.0052 | William Blair & Company, L.L.C. |
| 2020-08-07 | Nasdaq | 2019.08.0061 | Sandler, O’Neill & Partners, L.P. |
| 2020-07-23 | Nasdaq | 2015045755511 | Douglas A. Sanzone |
| 2020-07-23 | Nasdaq | 2015045755502 | John Grifonetti |
| 2020-07-23 | PHLX | 2015045755504 | John Grifonetti |
| 2020-07-23 | PHLX | 2015045755513 | Douglas A. Sanzone |
| 2020-07-23 | BX | 2015045755503 | John Grifonetti |
| 2020-07-23 | BX | 2015045755512 | Douglas A. Sanzone |
| 2020-07-17 | Nasdaq | 2018057166402 | Precision Securities, LLC |
| 2020-07-09 | Nasdaq | 2019.07.0056 | INTL FCStone Financial Inc. |
| 2020-06-24 | PHLX | 2017053131501 | Nomura Securities International, Inc. |
| 2020-06-03 | PHLX | 2015048329302 | Morgan Stanley & Co. LLC |
| 2020-06-03 | ISE | 2015048329303 | Morgan Stanley & Co. LLC |
| 2020-06-01 | PHLX | 2015045755513 | Douglas A. Sanzone |
| 2020-05-29 | PHLX | 2018058715201 | Freda Ginsberg McCullough |
| 2020-05-27 | Nasdaq | 2015049918101 | Charles Schwab & Co., Inc. |
| 2020-05-13 | Nasdaq | 2017054051802 | Seaport Global Securities LLC |
| 2020-04-08 | Nasdaq | 2019.04.0040 | Network I Financial Securities Inc. |
| | | | |
| 2020-03-16 | Nasdaq | 2015045163501 | Cantor Fitzgerald & Co. |
| 2020-03-04 | PHLX | 2016048770602 | Credit Suisse Securities (USA) LLC |
| 2020-03-03 | PHLX | 20170540013-02 | Cowen and Company |
| 2020-02-18 | PHLX | 2017053128502 | Morgan Stanley & Co. LLC |
| | | | |
| 2020-02-03 | Nasdaq | 2017056210702 | ITG Inc. n/k/a Virtu ITG, LLC |
| 2020-01-16 | Nasdaq | 2019.06.0053 | Fordham Financial Management, Inc. |
| 2020-01-13 | PHLX | 2017053129501 | Raymond James & Associates, Inc. |
| 2020-01-07 | PHLX | 2017053129604 | BNP Paribas Securities Corp. |

2019

| Date | Market | Case Number | Name |
| 2019-12-24 | PHLX | 2016048652002 | Christopher Quigley c/o J.A.K. Securities, Inc. |
| 2019-12-24 | PHLX | 2016048652001 | J.A.K. Securities, Inc., James A. Kelly |
| 2019-12-23 | Nasdaq | 2012034704502 | Credit Suisse Securities (USA) LLC |
| 2019-12-23 | BX | 2012034704504 | Credit Suisse Securities (USA) LLC |
| 2019-12-23 | PHLX | 2012034704503 | Credit Suisse Securities (USA) LLC |
| 2019-12-23 | NOM | 2012034704505 | Credit Suisse Securities (USA) LLC |
| 2019-12-19 | PHLX | 2016052030901 | ICAP Corporates LLC |
| | | | |
| 2019-12-17 | Nasdaq | 2014040293002 | Cowen & Company, LLC |
| | | | |
| 2019-12-17 | Nasdaq | 2011029713005 | Lek Securities Corporation |
| 2019-12-17 | BX | 2011029713006 | Lek Securities Corporation |
| 2019-12-17 | PHLX | 2011029713014 & 2012033667305 | Lek Securities Corporation, Respondent |
| 2019-12-17 | ISE | 2012033667302 | Lek Securities Corporation |
| | | | |
| 2019-12-12 | Nasdaq | 2014043557405 | Jefferies Execution Services, Inc. n/k/a Jefferies LLC |
| 2019-12-12 | BX | 2014043557407 | Jefferies Execution Services, Inc. n/k/a Jefferies LLC |
| 2019-12-12 | PHLX | 2014043557406 | Jefferies Execution Services, Inc. n/k/a Jefferies LLC |
| 2019-02-12 | PHLX | 2016048771301 | RBC Capital Markets, LLC |
| 2019-02-12 | NOM | 2016048771302 | RBC Capital Markets, LLC |
| 2019-11-20 | PHLX | 2017053129001 | BMO Capital Markets Corp. |
| 2019-11-14 | ISE | 2017053132902 | Tullett Prebon Financial Services LLC |
| 2019-11-08 | Nasdaq | 2019.05.0046 | StockCross Financial Services, Inc. |
| 2019-10-28 | Nasdaq | 2019.04.0041 | RBC Capital Markets, LLC |
| 2019-10-28 | PHLX | 2017053128902 | CIBC World Markets Corp. |
| 2019-10-28 | ISE | 2017053128903 | CIBC World Markets Corp. |
| 2019-09-12 | PHLX | 2018.06.0007 | UBS Securities LLC |
| 2019-08-15 | Nasdaq | 2013037572602 | Lime Brokerage, LLC |
| 2019-08-15 | BX | 2013037572603 | Lime Brokerage, LLC |
| 2019-08-15 | PHLX | 2013037572604 | Lime Brokerage, LLC |
| 2019-08-14 | PHLX | 2016048769502 | Jefferies, LLC |
| 2019-07-25 | Nasdaq | 2012035187502 | Clear Street Markets, LLC |
| 2019-07-25 | PHLX | 2012035187503 | Clear Street Markets, LLC |
| 2019-07-10 | Nasdaq | 2013038210401 | Aegis Capital Corp. |
| 2019-07-10 | Nasdaq | 2014042373805 | Clearpool Execution Services, LLC |
| 2019-07-10 | BX | 2014042373806 | Clearpool Execution Services, LLC |
| 2019-07-10 | PHLX | 2014042373807 | Clearpool Execution Services, LLC |
| 2019-07-08 | Nasdaq | 2016051145401 | Virtu Financial BD LLC |
| 2019-06-17 | PHLX | 2016048771703 | SG Americas Securities, LLC, Respondent |
| 2019-06-10 | Nasdaq | 2016051144701 | Citigroup Global Markets Inc. |
| 2019-05-20 | Nasdaq | 2017056712301 | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| 2019-04-08 | PHLX | 2018.07.0023 | Monadnock Capital Management, LP |
| 2019-04-02 | Nasdaq | 2016051141401 | Mizuho Securities USA Inc. |
| 2019-03-21 | Nasdaq | 2016051140601 | Janney Montgomery Scott, LLC |
| 2019-02-14 | PHLX | 2015046944501 | Monadnock Capital Management, LP |
| 2019-02-08 | Nasdaq | 2016051141801 | OTA LLC |
| 2019-01-31 | Nasdaq | 2016051145101 | The Vertical Group |
| 2019-01-29 | Nasdaq | 2013039483301 | ITG Inc. |
| 2019-01-29 | PHLX | 2015047551601 | UBS Securities LLC, Respondent |
| 2019-01-25 | ISE | 2016051745701 | Citigroup Derivatives Markets Inc. |
| 2019-01-24 | PHLX | 2015045758302 | Lek Securities Corporation |
| 2019-01-24 | ISE | 2015045758301 | Lek Securities Corporation |

2018

| Date | Market | Case Number | Name |
| 2018-12-13 | Nasdaq | 2015046871502 | Chardan Capital Markets LLC |
| 2018-12-10 | Nasdaq | 2016051145501 | Wedbush Securities Inc. |
| 2018-11-12 | Nasdaq | 20160511397-01 | IMC Financial Markets |
| 2018-11-06 | Nasdaq | 20160511383-01 | Deutsche Bank Securities Inc. |
| 2018-11-04 | BX | 20130368360-02 | Instinet, LLC |
| 2018-11-04 | PHLX | 20130368360-03 | Instinet, LLC. |
| 2018-11-04 | NOM | 20130368360-04 | Instinet, LLC |
| 2018-10-24 | Nasdaq | 20150483276-01 | SG Americas Securities, LLC |
| 2018-10-24 | PHLX | 20150483276-02 | SG Americas Securities, LLC |
| 2018-09-26 | PHLX | 20140411279-08 | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| 2018-09-26 | NOM | 20140411279-07 | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| 2018-09-26 | ISE | 20140411279-05 | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| 2018-09-26 | GEMX | 20140411279-0 | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| 2018-09-25 | Nasdaq | 20150467692-03 | GTS Securities LLC |
| 2018-09-25 | BX | 20150467692-04 | GTS Securities LLC |
| 2018-09-25 | PHLX | 20150467692-05 | GTS Securities LLC |
| 2018-09-05 | PHLX | 20150467547-01 | Sumo Capital, LLC |
| 2018-09-14 | NOM | 20170539365 | BGC Financial, L.P. |
| 2018-09-14 | GEMX | 20170539365 | BGC Financial, L.P. |
| 2018-08-30 | Nasdaq | 20120314807-21 | Simon Librati |
| 2018-08-30 | BX | 20120314807-19 | Simon Librati |
| 2018-08-30 | PHLX | 20120314807-20 | Simon Librati |
| 2018-08-29 | Nasdaq | 20120314807-07 | Maurice Bensoussan |
| 2018-08-29 | BX | 20120314807-05 | Maurice Bensoussan |
| 2018-08-29 | PHLX | 20120314807-06 | Maurice Bensoussan |
| 2018-08-28 | Nasdaq | 20160511439-01 | SunTrust Robinson Humphrey, Inc. |
| 2018-08-23 | Nasdaq | 20120346239-05 | Morgan Stanley & Co. LLC |
| 2018-07-02 | Nasdaq | 20160511376-01 | Chardan Capital Markets LLC |
| 2018-05-09 | NOM | 20160493435-01 | RBC Capital Markets, LLC |
| 2018-02-13 | PHLX | 20150443242-03 | Deutsche Bank Securities Inc. |
| 2018-02-05 | BX | 20140414439-05 | Wolverine Trading, LLC |
| 2018-02-05 | PHLX | 20140414439-06 | Wolverine Trading, LLC. |
| 2018-02-05 | NOM | 20140414439-07 | Wolverine Trading, LLC |

2017

| Date | Market | Case Number | Name |
| 2017-12-21 | NOM | 20150455863-02 | Nomura Securities International, Inc. |
| 2017-12-20 | PHLX | 2017-19 | Nomura Securities International, Inc. |
| 2017-12-20 | PHLX | 2017-18 | Richard M. Vogt, Proprietary Trader |
| 2017-12-20 | PHLX | 2017-17 | Mangal D. Tyagi, Jr., Proprietary Trader |
| 2017-12-20 | PHLX | 2017-16 | Nomura Securities International, Inc. |
| 2017-12-20 | PHLX | 2017-15 | Wells Fargo Securities LLC |
| 2017-12-18 | Nasdaq | 20130371845-01 | Jefferies LLC |
| 2017-12-11 | Nasdaq | 20150442002-01 | G1 Execution Services, LLC |
| 2017-11-09 | Nasdaq | 20130354682-02 | Lightspeed Trading, LLC |
| 2017-10-31 | Nasdaq | 20140437801-01 | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| 2017-10-26 | Nasdaq | 20150457981-04 | GTS Securities LLC |
| 2017-10-11 | BX | 20140418707-05 | BMO Capital Markets Corp. |
| 2017-10-11 | NOM | 20140418707-01 | BMO Capital Markets Corp. |
| 2017-10-06 | PHLX | 2017-14 | Oppenheimer & Co. Inc. |
| 2017-10-05 | PHLX | 2017-13 | BMO Capital Markets Corp. |
| 2017-10-04 | Nasdaq | 20150442333-03 | Chimera Securities, LLC |
| 2017-09-26 | Nasdaq | 20140423775-01 | Ronin Capital, LLC |
| 2017-09-20 | Nasdaq | 20140416350-03 | RBC Capital Markets, LLC |
| 2017-09-20 | Nasdaq | 20150480820-01 | Aegis Capital Corp. |
| 2017-09-20 | BX | 20140416350-04 | RBC Capital Markets, LLC |
| 2017-09-01 | Nasdaq | 20140412867-01 | Dawson James Securities, Inc. |
| 2017-09-01 | PHLX | 2017-7 | ICAP Corporates LLC |
| 2017-09-01 | PHLX | 2017-6 | Brencis Matthew, a Former Proprietary Trader of T3 Trading Group, LLC |
| 2017-09-01 | PHLX | 2017-5 | Stuart H. Dorfman, a Former Proprietary Trader of T3 Trading Group, LLC |
| 2017-08-02 | PHLX | 2017-9 | Susquehanna Securities |
| 2017-07-27 | Nasdaq | 20130393135-05 | Deutsche Bank Securities Inc. |
| 2017-07-27 | BX | 20130393135-06 | Deutsche Bank Securities Inc. |
| 2017-07-27 | PHLX | 2017-10 | J.P. Morgan Securities LLC |
| 2017-07-27 | PHLX | 2017-8 | Deutsche Bank Securities, Inc. |
| 2017-07-17 | Nasdaq | 20160489184-01 | Raymond James & Associates, Inc. |
| 2017-07-17 | Nasdaq | 20140399285-01 | GFI Securities LLC |
| 2017-07-17 | NOM | 20120313180-03 | Goldman, Sachs & Co. LLC |
| 2017-07-12 | PHLX | 2017-12 | Goldman, Sachs & Co., LLC |
| 2017-07-11 | Nasdaq | 20150458588-01 | TD Securities (USA) LLC |
| 2017-06-28 | Nasdaq | 20120348296-03 | J.P. Morgan Securities LLC |
| 2017-06-28 | PHLX | 2017-11 | Jump Trading, LLC |
| 2017-06-28 | NOM | 20120348296-07 | J.P. Morgan Securities LLC |
| 2017-06-27 | NOM | 20140419133-02 | Susquehanna Securities |
| 2017-06-09 | Nasdaq | 20130354629-04 | Citigroup Global Markets Inc. |
| 2017-05-23 | Nasdaq | 20120347730-02 | Interactive Brokers, LLC |
| 2017-05-03 | Nasdaq | 20140411317-02 | Old Mission Capital, LLC |
| 2017-04-11 | PHLX | 2017-4 | Two Sigma Securities, LLC |
| 2017-04-11 | PHLX | 2017-3 | UBS Securities, LLC |
| 2017-04-06 | Nasdaq | 20130391658-05 | Two Sigma Securities, LLC |
| 2017-04-05 | Nasdaq | 20130365748-01 | Barclays Capital, Inc. |
| 2017-04-05 | Nasdaq | 20120316421-01 | Morgan Stanley & Co. LLC |
| 2017-04-04 | PHLX | 2017-2 | Susquehanna Securities |
| 2017-04-04 | PHLX | 2017-1 | Wolverine Execution Services |
| 2017-01-24 | Nasdaq | 20150444790-01 | Xambala Capital, LLC |
| 2017-01-19 | Nasdaq | 20140414536-01 | R.W. Pressprich & Co. |
| 2017-01-04 | Nasdaq | 20110289645-02 | Maxim Group LLC |
| 2017-01-03 | Nasdaq | 20080148227-04 | Ben James Raatz |
| 2017-01-03 | Nasdaq | 20080148227-03 | Lawrence R. Kajmowicz |

2016

| Date | Market | Case Number | Name |
| 2016-12-21 | PHLX | 2016-17 | Automated Trading Desk Financial Services, LLC. |
| 2016-12-21 | NOM | 20140418701-05 | Citi Order Routing and Execution, LLC |
| 2016-12-20 | Nasdaq | 20140413222-01 | Tradebot Systems, Inc. |
| 2016-12-20 | NOM | 20130362578-04 | Lime Brokerage LLC |
| 2016-12-20 | ISE | 20130362578-02 | Lime Brokerage LLC |
| 2016-12-19 | PHLX | 2016-18 | Walleye Trading LLC |
| 2016-12-19 | PHLX | 2016-16 | UBS Securities LLC |
| 2016-12-19 | PHLX | 2016-15 | Lime Brokerage LLC |
| 2016-12-16 | Nasdaq | 20130385533-01 | SAL Equity Trading, GP (f-k-a Susquehanna Capital Group) |
| 2016-12-05 | Nasdaq | 20140438204-02 | Cantor Fitzgerald & Co. |
| 2016-11-14 | Nasdaq | 20120332393-05 | ABN AMRO Clearing Chicago LLC |
| 2016-11-07 | Nasdaq | 20150480828-01 | Maxim Group LLC |
| 2016-11-02 | Nasdaq | 20150449128-01 | Wells Fargo Securities, LLC |
| 2016-10-31 | Nasdaq | 20140430990-02 | Jump Trading, LLC |
| 2016-10-31 | BX | 20140430990-03 | Jump Trading, LLC |
| 2016-10-19 | Nasdaq | 20100235180-01 | Citadel Securities, LLC |
| 2016-10-07 | Nasdaq | 20150442330-02 | BNY Mellon Capital Markets, LLC |
| 2016-09-27 | Nasdaq | 20160490438-02 | Citigroup Global Markets Inc. |
| 2016-09-27 | PHLX | 2016-13 | PTR, Inc. |
| 2016-09-27 | PHLX | 2016-12 | Nomura Securities International, Inc. |
| 2016-09-27 | PHLX | 2016-10 | J.P. Morgan Securities LLC |
| 2016-09-02 | Nasdaq | 20140416239-01 | Aegis Capital Corp. |
| 2016-08-23 | ISE | 20130374348-03 | J.P. Morgan Securities LLC |
| 2016-08-23 | ISE | 20140402502 | Interactive Brokers LLC |
| 2016-08-23 | ISE | 20150481528 | KCG Americas LLC |
| 2016-08-22 | NOM | 20130374348-04 | J.P. Morgan Securities LLC |
| 2016-07-19 | Nasdaq | 20120342559-01 | Nomura Securities International, Inc. |
| 2016-07-19 | PHLX | 2016-11 | Nomura Securities International, Inc. |
| 2016-07-19 | PHLX | 2016-8 | Cutler Group, LP |
| 2016-07-18 | PHLX | 2016-9 | Jefferies LLC |
| 2016-07-18 | PHLX | 2016-7 | Morgan Stanley & Co. LLC |
| 2016-07-18 | PHLX | 2016-6 | Goldman, Sachs & Co. |
| 2016-07-18 | PHLX | 2016-5 | Citigroup Derivatives Markets Inc. |
| 2016-07-18 | PHLX | 2016-4 | Volant Liquidity, LLC |
| 2016-07-11 | Nasdaq | 20130375865-02 | Essex Radcz LLC 20130375865-02 |
| 2016-04-22 | Nasdaq | 20120316429-02 | Citigroup Global Markets Inc. |
| 2016-04-01 | Nasdaq | 20120352200-02 | Vandham Securities Corp. |
| 2016-03-28 | PHLX | 2016-1 | SG Americas Securities, LLC |
| 2016-03-23 | PHLX | 2016-2 | Deutsche Bank Securities Inc. |
| 2016-03-11 | Nasdaq | 20120344551-0 | Ascendiant Capital Markets, LLC |
| 2016-02-25 | Nasdaq | 20120323306-02 | WEDB Securities LLC |
| 2016-02-25 | Nasdaq | 20130379324-02 | Marcus Carlos Rodriguez |
| 2016-02-03 | Nasdaq | 20140416264-01 | WEDB Securities LLC |
| 2016-01-15 | BX | 20130362190-01 | Jefferies LLC |

2015

| Date | Market | Case Number | Name |
| 2015-12-29 | Nasdaq | 20120323306-02 | UBS Securities LLC |
| 2015-12-29 | BX | 20130362207-02 | COR Clearing, LLC |
| 2015-12-29 | PHLX | 2015-12 | UBS Securities LLC |
| 2015-12-21 | PHLX | 2015-16 | UBS Securities LLC |
| 2015-12-21 | PHLX | 2015-15 | Sumo Capital, LLC |
| 2015-12-21 | PHLX | 2015-14 | Group One Trading, L.P. |
| 2015-11-23 | PHLX | 2015-11 | Joseph Constantine Monte |
| 2015-11-23 | PHLX | 2015-11 | Seth Gordon Rosen |
| 2015-11-23 | PHLX | 2015-11 | Quad Capital, LLC |
| 2015-11-13 | Nasdaq | 20110288918-02 | Canaccord Genuity Inc. |
| 2015-11-10 | PHLX | 2015-13 | Bluefin Trading, LLC |
| 2015-10-15 | PHLX | 2015-10 | Credit Suisse Securities (USA) LLC |
| 2015-10-15 | NOM | 20110292793-01 | Credit Suisse Securities (USA) LLC |
| 2015-10-09 | NOM | 20120334122-01 | Virtu Financial BD LLC |
| 2015-09-11 | Nasdaq | 20120336954-01 | Credit Suisse Securities (USA) LLC |
| 2015-08-31 | PHLX | 2015-09 | G-2 Trading, LLC |
| 2015-08-31 | PHLX | 2015-08 | Virtu Financial BD LLC |
| 2015-08-31 | PHLX | 2015-07 | Virtu Financial Capital Markets LLC |
| 2015-07-16 | Nasdaq | 20120337081-01 | VFinance Investments, Inc. |
| 2015-07-13 | PHLX | 2015-06 | Barclays Capital Inc, |
| 2015-07-13 | NOM | 20110301661-01 | UBS Securities LLC |
| 2015-07-10 | BX | 20110291718-01 | Barclays Capital Inc. |
| 2015-07-01 | PHLX | 2014-15 and 2015-05 | PTR, Inc |
| 2015-06-25 | NOM | 20130366433-03 | Merrill Lynch Professional Clearing Corp. |
| 2015-06-24 | PHLX | 2015-04 | Merrill Lynch Pierce Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp |
| 2015-06-23 | BX | 20110277299-03 | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| 2015-06-23 | PHLX | 2015-03 | Merrill Lynch Professional Clearing Corp. |
| 2015-06-23 | NOM | 20110277299-04 | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| 2015-06-18 | PHLX | 2015-02 | Consolidated Trading, LLC |
| 2015-06-17 | Nasdaq | 20100254907-01 | Chardan Capital Markets LLC |
| 2015-06-04 | Nasdaq | 20120348379-01 | Citadel Securities LLC |
| 2015-05-01 | Nasdaq | 20120321457-01 | D.A. Davidson & Co. |
| 2015-04-10 | Nasdaq | 20120310864-01 | Stock USA Execution Services, Inc. |
| 2015-04-10 | BX | 20120310864-02 | First Clearing, LLC. |
| 2015-04-09 | PHLX | 2015-01 | D&D Securities, Inc. |
| 2015-04-07 | Nasdaq | 20100243866-01 | Scout Trading, LLC. |
| 2015-03-20 | NOM | 20100236861-01 | optionsXpress, Inc. |
| 2015-03-04 | Nasdaq | 20130390807-01 | Stifel, Nicolaus & Company, Incorporated |

2014

| Date | Market | Case Number | Name |
| 2014-12-22 | BX | 20120341223-02 | Wolverine Execution Services, LLc |
| 2014-12-22 | BX | 20120322493-02 | Merrill Lynch, Pierce, Fenner & Smith Incorporated & Merrill Lynch Professional Clearing Corp. |
| 2014-12-22 | PHLX | 2014-18 | Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp. |
| 2014-12-22 | PHLX | 2014-17 | Wolverine Execution Services, LLC |
| 2014-12-19 | Nasdaq | 20130358293-02 | First Clearing, LLC. |
| 2014-12-19 | Nasdaq | 20100238966-02 | Instinet, LLC. |
| 2014-12-12 | Nasdaq | 20120351796-01 | Lime Brokerage LLC |
| 2014-12-05 | Nasdaq | 20120316473-02 | TradeStation Securities Inc. |
| 2014-11-24 | BX | 20090198842-01 | Global Execution Brokers, LP |
| 2014-11-20 | PHLX | 2014-16 | Rosenbaum Capital, LLC |
| 2014-11-19 | PHLX | 2014-13 | D&D Securities, Inc. |
| 2014-11-10 | PHLX | 2014-11 | Street Securites Inc. |
| 2014-11-07 | PHLX | 2014-12 | Bluefin Trading, LLC |
| 2014-10-29 | BX | 20110300883-01 | KCG Americas LLC |
| 2014-10-28 | Nasdaq | 20120310292-01 | J.P. Morgan Securities LLC. |
| 2014-10-15 | Nasdaq | 20120334855-01 | Aegis Capital Corp. |
| 2014-09-25 | Nasdaq | 20120337068-01 | Stifel, Nicolaus & Company, Inc. |
| 2014-09-12 | NOM | 20110261143-01 | Cantor FItzgerald & Co. |
| 2014-08-27 | Nasdaq | 20110294841-01 | Lightspeed Trading, LLC |
| 2014-08-18 | PHLX | 2014-06 | Morgan Stanley & Co, LLC |
| 2014-08-07 | Nasdaq | 20120309147-01 | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| 2014-08-04 | PHLX | 2014-09 | Walleye Trading, LLC |
| 2014-08-04 | PHLX | 2014-08 | Volant Liquidity, LLC |
| 2014-08-04 | PHLX | 2014-07 | UBS Securities, LLC |
| 2014-08-04 | PHLX | 2014-05 | Group One Trading, LP |
| 2014-08-04 | PHLX | 2014-04 | Cutler Group, LP |
| 2014-07-31 | Nasdaq | 20120328903-01 | StockCross Financial Services, Inc. |
| 2014-07-22 | Nasdaq | 20120330808-01 | Jump Trading, LLC |
| 2014-07-22 | BX | 20120330808-02 | Jump Trading, LLC |
| 2014-07-11 | Nasdaq | 20120344050-01 | Janney Montgomery Scott LLC |
| 2014-06-26 | PHLX | 2014-14 | Eugene P. O’Brien and Floor Broker of Husky Trading, LLC |
| 2014-06-16 | Nasdaq | 20100223345-02 | Citadel Securities LLC |
| 2014-05-15 | Nasdaq | 20110261076-01 | Wedbush Securities Inc. |
| 2014-05-14 | Nasdaq | 20110293562-01 | Nomura Securities International Inc. |
| 2014-05-13 | Nasdaq | 20100215959-01 | Spartan Securities Group, Ltd. |
| 2014-05-05 | Nasdaq | 20110294921-01 | Morgan Keegan & Company, LLC |
| 2014-05-02 | Nasdaq | 20100249543-01 | National Financial Services, LLC |
| 2014-04-28 | Nasdaq | 20110262985-01 | Barclays Capital Inc. |
| 2014-04-08 | PHLX | 2014-02 | Cutler Group, LP |
| 2014-03-14 | NOM | 20110275391-01 | Cantor FItzgerald & Co. |
| 2014-03-07 | PHLX | 2014-01 | Darren S. Grunberg |
| 2014-03-07 | PHLX | 2012-14 | Husky Trading LLC |
| 2014-02-21 | PHLX | 2012-17 | Solaris Alternative Capital Partners, L.P. and Pasquale R. DiDonato |
| 2014-02-19 | Nasdaq | 20110261650-02 | Tradition Asiel Securities Inc. |
| 2014-02-05 | Nasdaq | 20110303916-02 | Essex Radez LLC |
| 2014-01-13 | Nasdaq | 20110293752-01 | OCTEG, LLC |
| 2014-01-13 | BX | 20110293571-01 | OCTEG, LLC |
| 2014-01-13 | BX | 20110291711-01 | Wolverine Trading LLC |
| 2014-01-07 | Nasdaq | 20110261576-02 | Electronic Transaction Clearing, Inc. |
| 2014-01-07 | Nasdaq | 20110263030-01 | Archipelago Securities, LLC |

2013

| Date | Market | Case Number | Name |
| 2013-12-23 | Nasdaq | 20110293536-01 | J.P. Morgan Securities LLC |
| 2013-12-20 | PHLX | 2013-06 | G-2 Trading and David S. Abramson |
| 2013-12-20 | PHLX | 2013-05 | Largo Trading, L.P. |
| 2013-12-16 | BX | 20100214915-01 | UBS Financial Services Inc. |
| 2013-12-12 | BX | 20100249660-01 | Wolverine Trading, LLC |
| 2013-12-02 | BX | 20100237398-01 | Timber Hill, LLC |
| 2013-11-25 | BX | 20110265025-01 | Stock USA Execution Services, Inc. |
| 2013-11-18 | Nasdaq | 20090169999-02 | Merrill Lynch Pierce Fenner & Smith Inc. |
| 2013-11-18 | Nasdaq | 20120327309-01 | Stock USA Execution Services Inc. |
| 2013-10-22 | NOM | 20110275386-01 | Barclays Capital Inc. |
| 2013-10-15 | Nasdaq | 20120347385-01 | RBC Capital Markets LLC |
| 2013-10-06 | PHLX | 2013-04 | UBS Securities |
| 2013-10-06 | PHLX | 2013-03 | Cowen and Company |
| 2013-10-06 | PHLX | 2013-02 | Cutler Group |
| 2013-08-05 | BX | 20110280705-01 | UBS Securities |
| 2013-09-20 | Nasdaq | 20090191797-01 | Barrett & Company Inc. |
| 2013-09-16 | Nasdaq | 20110261444-02 | Lime Brokerage LLC |
| 2013-07-27 | Nasdaq | 20120324346-01 | Cowen and Company |
| 2013-07-10 | Nasdaq | 20120325257-01 | Newedge USA LLC |
| 2013-07-06 | Nasdaq | 20110260978-01 | Stifel Nicolaus & Company Inc. |
| 2013-06-27 | BX | 20090166268-02 | VTrader Pro |
| 2013-06-14 | Nasdaq | 20110261562-01 | Murphy & Durieu |
| 2013-06-11 | Nasdaq | 20120309824-01 | The Benchmark Company LLC |
| 2013-06-11 | Nasdaq | 20120316791-01 | Chardan Capital Markets LLC |
| 2013-06-07 | Nasdaq | 20080148650-01 | Steven Longo |
| 2013-05-28 | Nasdaq | 20100215948-02 | Barclays Capital Inc. |
| 2013-05-28 | Nasdaq | 20100215909-02 | Cowen and Company LLC |
| 2013-05-12 | PHLX | 2014-03 | HAP Trading, LLC |
| 2013-04-25 | Nasdaq | 20090173810-02 | Credit Suisse Securities (USA) LLC |
| 2013-04-05 | Nasdaq | 20100214899-02 | IMC-Chicago LLC |
| 2013-04-05 | Nasdaq | 20110274228-01 | Interactive Brokers LLC |
| 2013-04-03 | PHLX | 2012-10 | Rosenbaum Capital, LLC |
| 2013-04-02 | Nasdaq | 20090170026-02 | Wedbush Securities Inc. |
| 2013-04-01 | PHLX | 2013-01 | PTR, Inc. |
| 2013-03-26 | PHLX | 2012-12 | Bullock Trading LP |
| 2013-03-12 | Nasdaq | 20090170074-01 | Goldman Sachs & Co. |
| 2013-01-15 | NOM | 20110259552-01 | UBS Securities LLC |
| 2013-01-03 | PHLX | 2012-16 | Cutler Group, LP |
| 2013-01-03 | PHLX | 2012-13, 2012-15 | J.A.K. Securities, Inc. |

2012

| Date | Market | Case Number | Name |
| 2012-12-24 | BX | 20100236863-01 | ABN AMRO Clearing Chicago, LLC |
| 2012-12-24 | BX | 20100236863-01 | ABN AMRO Clearing Chicago, LLC |
| 2012-12-19 | BX | 20100222173-01 | Morgan Stanley & Co., LLC |
| 2012-12-14 | Nasdaq | 20100215978-01 | RBC Capital Markets LLC |
| 2012-11-21 | Nasdaq | 20100211739-01 | National Financial Services LLC |
| 2012-11-21 | Nasdaq | 20090172547-02 | Morgan Stanley & Co. LLC |
| 2012-11-21 | BX | 20100211739-01 | National Financial Services, LLC |
| 2012-11-13 | Nasdaq | 20110261119-01 | Sandler O'Neil & Partners L.P. |
| 2012-10-10 | PHLX | 2012-09 | Goldman, Sachs & Co. |
| 2012-09-24 | BX | 20100233513-02 | Hold Brothers Online Investment Services, LLC |
| 2012-09-24 | NOM | 20100233513-01 | Hold Brothers Online Investment Services, LLC |
| 2012-09-14 | Nasdaq | 20100235041-02 | Goldman Sachs & Co. |
| 2012-09-12 | BX | 20100235041-01 | Goldman, Sachs & Co. |
| 2012-08-31 | Nasdaq | 20100224958-02 | Tradelink Securities |
| 2012-08-29 | Nasdaq | 20080142615-01 | Lazard Capital Markets |
| 2012-08-26 | Nasdaq | 20110265711-01 | HAP Trading LLC |
| 2012-07-12 | NOM | 20100217585-01 | Morgan Stanley & Co. LLC |
| 2012-06-21 | PHLX | 2012-08 | Keystone Trading Partners |
| 2012-06-21 | PHLX | 2012-07 | VTrader PRO, LLC |
| 2012-06-12 | PHLX | 2012-06 | Octeg, LLC |
| 2012-06-12 | PHLX | 2012-05 | Sumo Capital, LLC |
| 2012-06-01 | Nasdaq | 20090189588-01 | Merrill Lynch Pierce Fenner & Smith Incorporated |
| 2012-06-01 | Nasdaq | 20090189583-01 | Manhattan Beach Trading Financial Services Inc. |
| 2012-05-07 | PHLX | 2010-23 | D&D Securities, Inc. |
| 2012-04-24 | Nasdaq | 20090208265-02 | Janney Montgomery Scott |
| 2012-04-24 | PHLX | 2011-10 | Echotrade, LLC |
| 2012-04-10 | PHLX | 2012-04 | J.P. Morgan Clearing Corp. |
| 2012-03-15 | PHLX | 2012-03 | Group One Trading, LP |
| 2012-03-15 | PHLX | 2012-02 | Toro Trading, LLC |
| 2012-03-15 | PHLX | 2012-01 | Gelber Securities, LLC |
| 2012-03-08 | Nasdaq | 20100242271-01 | OCTEG LLC |
| 2012-02-03 | Nasdaq | 20080126066-01 | Citigroup Global Markets Inc. |
| 2012-01-04 | Nasdaq | 20090210827-01 | Citigroup Global Markets Inc. |

2011

| Date | Market | Case Number | Name |
| 2011-12-29 | PHLX | 2011-09 | Quad Capital, LLC |
| 2011-12-29 | PHLX | 2011-08 | G-2 Trading, LLC |
| 2011-12-21 | Nasdaq | 20090170083-01 | Spartan Securities Group LTD |
| 2011-12-16 | Nasdaq | 20090189358-01 | Gelber SEcurities LLC |
| 2011-12-08 | PHLX | 2011-07 | Merrill Lynch Professional Clearing Corp |
| 2011-08-14 | Nasdaq | 20110286830-01 | Jefferies & Company Inc. |
| 2011-08-14 | Nasdaq | 20090166421-01 | Natixis Bleichroeder LLC |
| 2011-08-14 | Nasdaq | 20090196642-01 | Blue Fire Capital LLC |
| 2011-08-13 | NOM | 20080144546-01 | Newedge USA, LLC |
| 2011-08-11 | Nasdaq | 2010022922702NQ | TD Ameritrade Inc. |
| 2011-07-22 | PHLX | 2011-01 | McGowan Investors |
| 2011-07-07 | PHLX | 2011-04 | Keystone Trading Partners |
| 2011-06-27 | PHLX | 2011-06 | Against Optiver US, LLC |
| 2011-06-27 | PHLX | 2011-05 | Against Tiberius Qualified Master Fund |
| 2011-06-26 | Nasdaq | 20090189355-01 | BNP Paribas Securities Corp. |
| 2011-06-02 | PHLX | 2011-03 | Consolidated Trading, LLC. |
| 2011-06-02 | PHLX | 2011-02 | Cutler Group, Inc. |
| 2011-05-27 | NOM | 20090180679-01 | Thinkorswim, Inc. |
| 2011-05-13 | Nasdaq | 20080151815-01 | Morgan Stanly & Co. Incorporated |
| 2011-04-05 | Nasdaq | 20090169985-01 | Blue Fire Capital LLC |
| 2011-03-18 | Nasdaq | 20100215972-01 | Pershing LLC |

2010

| Date | Market | Case Number | Name |
| 2010-12-29 | PHLX | 2010-22 | Madison Proprietary Trading Group, LLC |
| 2010-12-29 | PHLX | 2010-21 | Bedrock Trading, Ltd. |
| 2010-12-29 | PHLX | 2010-20 | Keystone Trading Partners |
| 2010-12-29 | PHLX | 2010-19 | Echotrade, LLC |
| 2010-12-23 | Nasdaq | 20080123329-01 | Cantor Fitzgerald & Co. |
| 2010-12-10 | PHLX | 2010-16 | PTR, Inc. |
| 2010-12-10 | PHLX | 2010-15 | Merrill Lynch Professional Clearing Corp |
| 2010-11-12 | Nasdaq | 20070111525-01 | Seaton Securities Group, Inc. |
| 2010-11-12 | NOM | 20080144510-01 | Merrill Lynch, Pierce, Fenner & Smith, Inc. |
| 2010-11-12 | NOM | 20080144520-01 | National Financial Services, LLC |
| 2010-11-12 | NOM | 20080153938-01 | SG Americas Securities, LLC |
| 2010-10-27 | Nasdaq | 20080150670-02 | BTIG, LLC 0080150670-02 |
| 2010-10-20 | Nasdaq | 20090170076-01 | Pacific Crest Securities LLC |
| 2010-09-30 | Nasdaq | 20080127669-01 | Sanford C. Bernstein & Co. |
| 2010-09-24 | PHLX | 2010-14 | PTR, Inc. |
| 2010-09-24 | PHLX | 2010-13 | Echotrade, LLC |
| 2010-08-25 | Nasdaq | 20080122967-01 | Robert W. Baird & Co. |
| 2010-08-25 | Nasdaq | 20070103463-02 | Cowen and Company |
| 2010-08-19 | Nasdaq | 20070110187-01 | First Southwest Company |
| 2010-08-19 | Nasdaq | 20090191300-01 | Cantor Fitzgerald & Co. |
| 2010-08-02 | PHLX | 2010-12 | PTR, Inc. |
| 2010-08-02 | PHLX | 2010-11 | Jalobe Securities, LP |
| 2010-08-02 | PHLX | 2010-10 | Monadnock Capital Management, LP |
| 2010-08-02 | PHLX | 2010-09 | Madison Proprietary Trading Group, LLC |
| 2010-08-02 | PHLX | 2010-08 | Peter P. Cullen |
| 2010-06-29 | Nasdaq | 20090190213-01 | Lime Brokerage LLC |
| 2010-06-29 | Nasdaq | 20090186862-01 | Citigroup Global Markets Inc. |
| 2010-06-29 | Nasdaq | 20090186673-01 | Automated Trading Desk Financial Services, LLC |
| 2010-06-29 | Nasdaq | 20090186308-01 | Genesis Securities, LLC |
| 2010-06-29 | Nasdaq | 20090186066-01 | Biremis, Corp. |
| 2010-06-29 | Nasdaq | 20090183872-01 | Scottrade, Inc. |
| 2010-06-29 | Nasdaq | 20080159677-01 | OCTEG, LLC |
| 2010-06-29 | Nasdaq | 20080159388-01 | BNP Paribas Securities Corp. |
| 2010-06-29 | Nasdaq | 200815292-01 | Citadel Securities LLC |
| 2010-06-29 | Nasdaq | 20080152870-01 | Wedbush Securities Inc. |
| 2010-06-29 | Nasdaq | 2008152821-01 | Instinet, LLC |
| 2010-06-29 | Nasdaq | 20080152661-01 | UBS Securities LLC |
| 2010-06-29 | Nasdaq | 2008152658-01 | Merrill Lynch, Pierce, Fenner, & Smith Incorporated |
| 2010-06-29 | Nasdaq | 2008136738-01 | Pershing, LLC |
| 2010-06-29 | Nasdaq | 20080129730-01 | TD Ameritrade Clearing, Inc. |
| 2010-06-29 | Nasdaq | 20080129708-01 | Assent, LLC |
| 2010-06-29 | Nasdaq | 20070112699-01 | LightSpeed Trading, LLC |
| 2010-06-29 | Nasdaq | 20070103806-01 | Robert W. Baird & Co. |
| 2010-06-29 | Nasdaq | 20070093367-01 | Goldman Sachs Execution & Clearing L.P. |
| 2010-06-29 | Nasdaq | 20060043626-02 | Natixis Bleichroeder LLC |
| 2010-04-30 | Nasdaq | 20080123149-01 | Wedbush Morgan Securities, Inc. |
| 2010-04-28 | PHLX | 2010-03 | HSBC Securities, Inc |
| 2010-04-28 | PHLX | 2010-02 | RBC Professional Trader Group |
| 2010-04-28 | PHLX | 2010-01 | Timber Hill, LLC |
| 2010-04-19 | PHLX | 2009-33 | Cutler Group, LP |
| 2010-04-19 | PHLX | 2009-31 | Cutler Group, LP |
| 2010-04-19 | PHLX | 2009-29 | SLK-Hull Derivatives |
| 2010-04-06 | Nasdaq | 20050031852-01 | Domestic Securities, Inc. |
| 2010-03-24 | NOM | 20080137271-01 | JP Morgan Securities, Inc. |
| 2010-01-22 | PHLX | 2009-32 | Monadnock Capital Management, LP |
| 2010-01-05 | PHLX | 2009-27 | M. Burtnick & Co. |

2009

| Date | Market | Case Number | Name |
| 2009-12-24 | PHLX | 2009-34 | Argyle Investments, LLC |
| 2009-11-27 | PHLX | 2009-25 | Offman Securities, LLC |
| 2009-11-20 | PHLX | 2009-26 | McGowan Investors, LP |
| 2009-11-19 | PHLX | 2009-28 | DSX, Inc. |
| 2009-11-19 | PHLX | 2009-24 | Bedrock Trading LTD |
| 2009-06-08 | PHLX | 2009-23 | Bullock Trading, LP |
| 2009-07-27 | PHLX | 2009-22 | Largo Trading, L.P. |
| 2009-07-14 | PHLX | 2009-21 | First Derivative Traders, L.P. |
| 2009-07-14 | PHLX | 2009-20 | Knight Financial Products LLC |
| 2009-07-01 | PHLX | 2009-16 | D&D Securities, Inc. |
| 2009-07-01 | PHLX | 2009-15 | D&D Securities, Inc. |
| 2009-06-03 | PHLX | 2009-17 | PTR, Inc. |
| 2009-06-03 | PHLX | 2009-14 | PTR, Inc. |
| 2009-05-19 | PHLX | 2009-19 | Gradient Trading, LLC |
| 2009-05-19 | PHLX | 2009-13 | Equitec Proprietary Markets, LLC |
| 2009-05-19 | PHLX | 2009-12 | LaBranche Structured Products, LLC |
| 2009-05-19 | PHLX | 2009-11 | Van der Moolen Specialists USA |
| 2009-05-19 | PHLX | 2009-10 | First Derivative Traders, L.P. |
| 2009-05-19 | PHLX | 2009-09 | Market Street Securities, Inc. |
| 2009-05-19 | PHLX | 2009-08 | Group One Trading, L.P. |
| 2009-05-19 | PHLX | 2009-07 | Susquehanna Investment Group |
| 2009-04-09 | PHLX | 2009-06 | Gradient Trading, LLC |
| 2009-03-20 | PHLX | 2009-02 | D&D Securities, Inc. |
| 2009-03-20 | PHLX | 2009-04 | J.A.K. Securities, Inc. |
| 2009-03-17 | PHLX | 2009-05 | Madison Proprietary Trading Group, LLC |
| 2009-03-16 | PHLX | 2009-03 | DSX, Inc. |