NSCC Clearing Services - Equities Alert! DISCIPLINARY NOTICE CONCERNING LEK SECURITIES CORPORATION. For breaching the Activity Cap on six separate trading days worth unsettled clearing activity,

NSCC Clearing Services - Equities Alert! DISCIPLINARY NOTICE CONCERNING LEK SECURITIES CORPORATION. For breaching the Activity Cap on six separate trading days worth unsettled clearing activity, NSCC has imposed the maximum fine of $120,000 ($20,000 for each violation)...

https://www.dtcc.com/-/media/Files/pdf/2022/6/10/9154.pdf

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