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GEMX Disciplinary Actions

2022

Enforcement No. Title Date
No. 20180580170-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20180580170-02,
Global Execution Brokers, LP		 9/23/2022
No. 2019061065702 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061065702,
Jefferies LLC		 8/23/2022
No. 2019.12.0089 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019.12.0089,
Wolverine Trading, LLC		 7/12/2022
No. 2018060117904 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018060117904,
Dash Financial Technologies LLC		 5/16/2022