Disciplinary Actions

2014

Date Matter Number Description
August 12, 2014     
20120316581 Notice of Acceptance of Letter of Acceptance,
Waiver and Consent No. 20120316581, IMC
Financial Markets, (CRD No. 104143)
March 28, 2014     
20110280330 Notice of Acceptance of Letter of Acceptance,
Waiver and Consent No. 20110280330, Electronic
Transaction Clearing, Inc. (CRD No. 146122)

2013

Date Matter Number Description
 December 18, 2013 20110261576 Notice of Acceptance of Letter of Acceptance,
Waiver and Consent No. 20110261576, Electronic
Transaction Clearing, Inc. (CRD No. 146122)
September 9, 2013
20120309813
Notice of Acceptance of Letter of Acceptance,
Waiver and Consent No. 20120309813, ABN AMRO
Clearing Chicago LLC (CRD No. 14020)

2012

Date Matter Number Description
May 14, 2012          
2009021082504 EDGX Exchange, Inc. Disciplinary Proceeding against
Genesis Securities, LLC (CRD No. 46992) and
William C. Yeh (CRD No. 2688332)

2013 Wall Street Letter
Institutional Trading Awards:

Best Exchange Client Service
2013 Markets Choice Awards:
Most Innovative Exchange
2013 Institutional Investor
“Trading Technology 40”:

Saro Jahani, Chief Information
Officer, #29