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NYSE Regulation Monthly Disciplinary Actions For June

Date 10/06/2009

NYSE Regulation, Inc., today announced Monthly Disciplinary Actions for June 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 three enforcement actions announced this month: all are NYSE Amex actions.

Here is the link to the June 2009 announcement page:

http://www.nyse.com/DiscAxn/discAxn_06_2009.html#

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