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NYSE Regulation, Inc. today announced its monthly disciplinary actions for September 2009.
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_09_2009.html
Today's announcement includes actions against the following respondents:
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Morgan Stanley & Co. Incorporated
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AGS Specialists, L.L.C., AGS Specialists II, L.L.C., and STR Specialists
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JAW Trading LLC
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Kellogg Capital Group, LLC
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Deutsche Bank Securities, Inc.
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BNY ConvergEx Execution Solutions LLC
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Heights Partners, Inc.
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Matthew Mills
