NOTICE OF DISCIPLINARY ACTION

FILE NO.:

NYMEX 13-9648-BC

NON-MEMBER:

Oleg Girko

NYMEX RULE VIOLATION: RULE 524.A. TRADING AT SETTLEMENT (“TAS”) TRANSACTIONS (IN PART)

2. TAS orders may be entered on Globex at any time the applicable contracts are available for TAS trading on Globex and during each TAS contract’s prescribed pre-open time period. The initiation of any TAS order on Globex outside these time periods is prohibited.

FINDINGS:

Pursuant to an offer of settlement Oleg Girko (“Girko”) presented at a hearing on September 23, 2014, in which Girko neither admitted nor denied the rule violation upon which the penalty is based, a Panel of the NYMEX Business Conduct Committee (“BCC”) found that it had jurisdiction over Girko pursuant to Exchange Rules 400 and 418 as the conduct was transacted on CME Globex electronic trading platform, and that on five business days between November 15, 2012 and October 31, 2013, Girko entered Trading at Settlement (TAS) orders prior to the security status message stating that the product group had entered a pre-open state, in violation of NYMEX Rule 524.A. (Trading at Settlement (“TAS”).

The Panel found that, as a result, Oleg Girko violated NYMEX Rule 524.A. (Trading at Settlement (“TAS”)).

PENALTY:

In accordance with the settlement offer, the Panel ordered Oleg Girko to pay a fine to the Exchange in the amount of $20,000.

EFFECTIVE DATE:

September 25, 2014