NYSE Regulation, Inc., today announced Monthly Disciplinary Actions for April 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.
There are six enforcement actions announced this month: four NYSE actions, one NYSE Amex action, and one for NYSE Arca.
Here is the link to the April 2009 announcement page:
