NYSE Regulation, Inc. today announced its monthly disciplinary actions for June 2010.
NYSE Regulation takes 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 May 2010 announcement page:
http://www.nyse.com/DiscAxn/discAxn_06_2010.html
Today's announcement includes NYSE and NYSE Amex actions against the following respondents:
- Fortis Clearing Americas LLC (10-NYSE-08)
- BNY ConvergEx Execution Solutions, LLC (10-NYSE-09)
- Amerivest Partners, L.L.C. (10-AMEX-08)
- E*Trade Clearing LLC (10-NYSE-12)
- Merrill Lynch, Pierce, Fenner & Smith Incorporated (10-NYSE-13)
- Merrill Lynch, Pierce, Fenner & Smith Incorporated (10-NYSE-10)