NOTICE OF DISCIPLINARY ACTION

NON-MEMBER:

MARK JASON GOMEZ

CME RULE VIOLATIONS:

Rule 532. Disclosing Orders Prohibited (in part)

…[N]o person shall disclose another person’s order to buy or sell except to a designated Exchange official or the CFTC, and no person shall solicit or induce another person to disclose order information. An order for pit execution is not considered public until it has been bid or offered by open outcry. No person shall take action or direct another to take action based on non-public order information, however acquired. The mere statement of opinions or indications of the price at which a market may open or resume trading does not constitute a violation of this rule.

FINDINGS:

Pursuant to an offer of settlement in which Mark Jason Gomez (“Gomez”) neither admitted nor denied the rule violations upon which the penalty is based, on May 21, 2015, a Panel of the CME Business Conduct Committee (“Panel”) found that it had jurisdiction over Gomez pursuant to Rules 400 and 402 as the conduct occurred while Gomez was an employee of a CME member firm. The Panel also found that on March 23, 2012, Gomez, after being asked by a customer for a market in Eurodollar options on futures, disclosed to the customer the size and price of offered quantities his colleague received from other customers prior to the offers having been disclosed to the pit. The Panel concluded that Gomez thereby violated CME Rules 532.

PENALTY:

In accordance with the settlement offer, the Panel ordered Gomez to pay a fine of $17,000 and serve a ten business day suspension of access to any CME Group Inc. trading floor and of direct access to all electronic trading and clearing platforms owned or controlled by CME Group, Inc., including CME Globex. The suspension shall run from May 26, 2015, through June 8, 2015, inclusive.

EFFECTIVE DATE:

May 26, 2015