Disciplinary Actions

2021

Enforcement No. Title Date
No. 2017055996902 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017055996902
Piper Sandler & Co. (f/k/a Sandler O’Neill & Partners, L.P.)
8/4/2021
No. 2015044078202 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015044078202
CODA Markets. Inc. (f/k/a PDQ ATS. Inc.)
7/28/2021
No. 2018057166104 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018057166104
Wolverine Execution Services, LLC
5/24/2021
No. 2017055595901 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017055595901
National Financial Services, LLC
5/10/2021
No. 2020.01.0096 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.01.0096
Needham & Company, LLC
4/12/2021
No. 2013038684003 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2013038684003
Merrill Lynch, Pierce, Fenner & Smith Incorporated
3/30/2021
No. 2015045017001 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015045017001
RBC Capital Markets, LLC
3/9/2021