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Disciplinary Actions
| Date | Title |
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07/07/2010
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10-0015 Raymond P. Dempsey, Inc.
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05/25/2010
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10-0020 HAP Trading, LLC
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05/25/2010
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10-0019 Toro Trading, LLC
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05/25/2010
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10-0017 Cassandra Trading Group, LLC
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05/25/2010
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10-0014a Merrill Lynch Pierce, Fenner & Smith, Inc.
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05/25/2010
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10-0014 Merrill Lynch, Pierce, Fenner & Smith, Inc.
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05/25/2010
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10-0013a Lakeshore Securities, LP
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05/25/2010
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10-0013 Lakeshore Securities, LP
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05/25/2010
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10-0011 Global Execution Brokers, LP
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05/25/2010
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10-0008 Coastal Trade Securities, LLC
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