NYSE Regulation, Inc. today announced Monthly Disciplinary Actions for June 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 trading permit holders, as well as current and former employees of those organizations.
There are nine enforcement actions this month: six NYSE cases against individuals, two NYSE cases against member firms, and one NYSE Arca action against a firm.
Here is the link to the June 2008 announcements page:
