NYSE Regulation Announces May Disciplinary Actions Against Six Firms And One Individual

NYSE Regulation, Inc. today announced Monthly Disciplinary Actions for May 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 seven enforcement actions: six NYSE cases against member firms and one NYSE case against an individual.

Here is the link to the May 2008 announcements page: http://www.nyse.com/DiscAxn/discAxn_05_2008.html#

About NYSE Regulation
NYSE Regulation, Inc. is a not-for-profit corporation dedicated to strengthening market integrity and investor protection. A subsidiary of NYSE Euronext (NYSE Euronext: NYX), the organization consists of three divisions: Market Surveillance, Enforcement and Risk, and Listed Company Compliance.
On July 30, 2007 , NYSE Regulation’s member regulation oversight functions were consolidated with NASD to form the Financial Industry Regulatory Authority (FINRA). Trading violations that occur on or through the systems and facilities of the NYSE Group will continue to investigated and prosecuted by NYSE Regulation’s Enforcement division. All enforcement actions filed with the NYSE Hearing Board by NYSE Enforcement prior to the consolidation will be prosecuted under NYSE Rules and federal securities laws until concluded. For more information, visit our Web site at www.nyseregulation.com.