NYSE Regulation undertakes disciplinary actions to enforce violations of NYSE, NYSE Arca and NYSE Amex rules and federal securities laws by member organizations, as well as current and former employees of those organizations. Here is the link to the September 2009 announcement page:
http://www.nyse.com/DiscAxn/discAxn_12_2009.html
Today's announcement includes NYSE Amex actions against the following respondents:
- Brendan E. Cryan and Company L.L.C.
-
Harold O'Keefe
