Disciplinary Actions


 

Case

Effective

Respondent

Disposition

Rules

Penalty

Link to Notice

2015-28

May 5, 2016

SG Americas Securities LLC

Settled

417(a)

$5,000 fine

Click for PDF

2015-28

May 5, 2016

Tavira Securities Limited

Settled

417(a)

$5,000 fine

Click for PDF

2014-03

October 30, 2015

John Briner

Adjudicated

601, 602, 607, 608, and 614

$100,000 fine and Permanent Access Ban

Click for PDF

2014-03

September 30, 2015

Matthew Marcus

Settled

601, 602, 614

$75,000 fine and Permanent Access Ban

Click for PDF

2013-05

March 17, 2015

Badin Rungruangnavarat

Adjudicated

601, 607, 608

$500,000 fine and Permanent Access Ban

Click for PDF

2012-07

May 13, 2013

Yizhen Xiong

Settled

601, 607, 608, 614

$12,000 Fine, 1 Year Trading and Access Ban

Click for PDF

2012-07

May 13, 2013

Yiyuan Xiong

Settled

601, 607, 608, 614

$18,000 Fine, 2 Year Trading and Access Ban

Click for PDF