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NYSE Regulation, Inc. today announced monthly disciplinary actions for January 2010.
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 January 2010 announcement page:
http://www.nyse.com/DiscAxn/discAxn_01_2010.html
Today's announcement includes NYSE, NYSE Amex and NYSE Arca actions against the following respondents:
- Credit Suisse Securities (USA) LLC
- EWT, LLC
- Cutler Group, L.P.
- Naum Voloshin
- Brian Malat
- William M. Begley, Jr.
