Cboe Equities Exchanges Disciplinary Actions

No. 20110259764-01: October 15, 2015; Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110259764-01, Barclays Capital Inc.
No. 20100249132-01: September 18, 2015; Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100249132-01, Wedbush Securities, Inc.
No. 20090211062-02: July 9, 2015; Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20090211062-02, KCG Americas, LLC
No. 20110277299: July 9, 2015; Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20110277299, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp.
No.: 20120310864-05: May 8, 2015; Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120310864-05, Stock USA Execution Services, Inc.
No.: 20140412839: January 28, 2015; Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140412839, Kershner Securities, LLC
No.: 20140409237: January 21, 2015; Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140409237, Finance 500, Inc.
No.: 14-0002: January 20, 2015; Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. BZX-14-0002, Agency Trading Group, Inc.
No.: 20100231838: January 15, 2015; Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20100231838, Lime Brokerage LLC
No.: 20140409265 & 20140406416: January 15, 2015; Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140409265 & 20140406416, OTR Global Trading, LLC
No: 20140409252: January 7, 2015; Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140409252, Pinnacle Capital Markets, LLC