NYSE Regulation, Inc. today announced Monthly Disciplinary Actions for September 2008. NYSE Regulation undertakes disciplinary action to enforce violations of NYSE rules and federal securities laws by member organizations, NYSE Arca rules and federal securities laws by permit holders, as well as current and former employees of those organizations.
There are six enforcement actions announced this month; one NYSE case against a firm, three NYSE cases against individuals, and two NYSE Arca actions against firms (permit holder).
Here is the link to the September 2008 announcements page:
