NOTICE OF SUMMARY ACTION

FILE NO.:

18-0899-FC

MEMBER:

KEVIN HENNING (KVH)

RULE VIOLATIONS:

514. TRADING INFRACTIONS.

A. The following shall constitute trading infractions:

7. use of undue force while on, entering or leaving the trading floor;

FINDINGS:

On March 20, 2018, a panel of the Floor Conduct Committee found that on March 9, 2018, Henning engaged in a physical altercation with another member in the S&P options pit. The Panel found that in so doing Henning violated CME Rule 514.A.7.

PENALTY:

The Panel imposed a fine of $1000.

EFFECTIVE DATE:

April 2, 2018