Cboe imposes $75k fine on Global Execution Brokers
Global Execution Brokers, LP has agreed to pay a fine of $75,000 as a part of a settlement with Cboe Exchange, Inc.
Cboe Exchange
Cboe fines Wolverine Execution Securities for alleged rule violations
Wolverine Execution Services failed to report 162 transactions executed on the floor within 90 seconds after execution.
Cboe Exchange fines Akuna Securities, Thomas G. Seewald
Akuna Securities LLC and Thomas G. Seewald have submitted Letter of Consent proposing a settlement of the alleged Cboe rule violations.
Matrix Executions gets a slap on the wrist for violating Cboe rules
Matrix Executions neither admits nor denies that violations of Cboe Exchange rules have been committed.
Cboe fines Goldman Sachs for violation of recordkeeping requirements
Goldman Sachs had no automated system or exception reports to verify that traders were accurately recording options order transmission times.
