NYSE Regulation, Inc. today announced Monthly Disciplinary Actions for August 2008.
NYSE Regulation undertakes disciplinary action to enforce violations of NYSE rules and federal securities laws by member organizations, as well as current and former employees of those organizations. This month there are five enforcement announcements: three related to individuals, two for firms.
Here is the link to the August 2008 announcements page:
http://www.nyse.com/DiscAxn/discAxn_08_2008.html#
