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Disciplinary Actions

Enforcement Matter No. Title Name Date
20140430991-04 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430991-04 Morgan Stanley & Co. LLC 10/18/2018
20150452814-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No.20150452814-05 J.P. Morgan Securities LLC 05/01/2018
20130368360-16 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No.20130368360-16 Instinet, LLC 04/11/2018