A broker-dealer and its chief compliance officer settled charges with NYSE American LLC for improperly booking trades and for allowing an employee to send text messages that were not retained by the firm.
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A broker-dealer settled NYSE Arca charges for (i) failing to obtain customer consent prior to adjusting an options trade, (ii) executing the trade at terms that the customer had said were not acceptable and (iii) recordkeeping failures.
A broker-dealer settled NYSE American charges for failing to maintain accurate records for options orders.
A broker-dealer settled parallel charges brought by NYSE Arca, Inc. and NYSE American LLC for origin code reporting failures and related supervisory and monitoring deficiencies.
A broker-dealer settled NYSE Arca charges for recordkeeping and supervisory compliance failures.