BX Disciplinary Actions

2022

Enforcement No. Title Date
No. 20180580170-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20180580170-01
Global Execution Brokers, LP
9/23/2022
No. 2017053210203 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2017053210203
Sagetrader, LLC
7/20/2022
No. 2018060117902 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018060117902
Dash Financial Technologies LLC
5/16/2022