Cboe, Cboe fine, featured, FINRA, Hilltop Securities
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Hilltop Securities Inc. has agreed to pay a fine of $170,000 as a part of a settlement with Cboe Exchange, Inc.
Cboe, Cboe fine, CFE, UBS Securities
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UBS Securities LLC has submitted Letter of Consent for the purpose of proposing a settlement of alleged rule violations.
Cboe, Cboe fine, featured
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X-Change Financial Access, LLC has agreed to pay a fine of $12,500 as part of a settlement with Cboe Exchange, Inc.
Cboe, Cboe fine, CIBC, featured
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This matter originated from a review of CIBC’s use of the Options Clearing Corporation’s (OCC) options position adjustment process.
Cboe, Cboe fine, Dash Financial Technologies, featured
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Cboe Exchange Inc has fined Dash Financial Technologies LLC for alleged violations of Exchange rules.
Cboe fine, RBC Capital Markets
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RBC Capital Markets, LLC has agreed to pay a fine of $90,000 as a part of a settlement with Cboe Exchange.
Cboe fine, Global Execution Brokers
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Cboe imposes a fine of $160,000 on Global Execution Brokers over the firm’s violations of Exchange rules.
