NYSE Regulation, Inc. today announced monthly disciplinary actions for October 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. Here is the link to the October 2009 announcement page:
http://www.nyse.com/DiscAxn/discAxn_10_2009.html
Today's announcement includes actions against the following respondents:
- Citigroup Global Markets, Inc.
- National Financial Services, LLC.
- Tradestation Securities, Inc.
- AK Capital, LLC
