Cboe Options Exchanges Disciplinary Actions

File No. USRI-8703 | Star No. 20180579081, Citadel Securities, LLC

August 28, 2019

File No. USE-2296 | Star No. 20170544364, Sumo Capital, LLC

August 1, 2019

File No. USE-1693 | Star No. 20160487695, Jefferies LLC

July 17, 2019

File No. USRI-8679 | Star No. 20160502034, Christopher S. Lee

June 7, 2019

File No. USE-1731 | Star No. 20160487717, SG Americas Securities, LLC

June 7, 2019

File No. USRI-8696 | Star No. 20170560699, Newedge USA, LLC n/k/a SG Americas Securites, LLC

June 7, 2019

File No. USRI-8679 | Star No. 20160502034, CIBC World Markets Corp.

June 7, 2019

File No. USRI-8707 | Star Nos. 20160491749 and 20170523838, Simplex Trading, LLC

June 7, 2019

File No. USRI-8680 | Star No. 20160511651, Morgan Stanley & Co. LLC

June 7, 2019

File No. USRI-8708 | Star No. 20160513267, BNP Paribas Securities Corp.

June 7, 2019

File No. USRI-8697 | Star No. 20170566526, Marathon Trading Group, LLC

June 7, 2019

File No. 18-0017 | Star No. 20170546001, Sumo Capital, LLC

May 29, 2019

File No. 15-0065 | Star No. 20150456213, Equitec Proprietary Markets, LLC Hearing Decision

April 23, 2019

File No. 14-0177 | Star No. 20140438963, ABN AMRO Clearing Chicago LLC

April 4, 2019

14-0200 and 17-0034/ 20150467862 and 20150439292 DRW Securities, L.L.C.

April 3, 2019

File No. 19-0002 Akuna Securities LLC

February 1, 2019

19-0007/ 20150457583 Lek Securities Corporation

January 31, 2019

15-0019 and 17-0004/ 20150444988 and 20150467037 Cardinal Capital Management LLC

January 31, 2019

19-0006/ 20160485982 UBS Securities LLC

January 31, 2019

18-0007/ 20160486165 MNR Executions, LLC, Ronald Myers and Andrew Clouthier

January 31, 2019

17-0055/ 20150451886-02 Susquehanna Securities

January 31, 2019

19-0004/ 20160517457 Citigroup Derivatives Markets Inc.

January 31, 2019

19-0005/ 20170523844 Sumo Capital, LLC

January 31, 2019

17-0055/ 20150451886-01 Susquehanna Investment Group

January 31, 2019

19-0001/ 20150475058-04 Susquehanna Securities

January 31, 2019

19-0003/ 20170550796 Lakeshore Securities, L.P., Joseph Williams, Salvatore LoBianco and Mark Burzxcki

January 31, 2019