NYSE Regulation Announces November Disciplinary Actions Against One Firm, Five Individuals

This is NYSE Regulation, Inc.'s Disciplinary Actions announcement for November 2007.

Here is the link to the November details page: http://www.nyse.com/DiscAxn/discAxn_11_2007.html

Link to the sortable Index page: http://www.nyse.com/DiscAxn/discAxnIndex.html

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.

On July 30, 2007, NYSE Regulation’s member regulation oversight functions were consolidated with NASD to form the Financial Industry Regulatory Authority (FINRA). Certain staff and functions of NYSE Regulation’s Enforcement division have transferred to FINRA Enforcement. NYSE Member Firm Rule violations by NYSE member organizations will now be investigated and prosecuted by FINRA Enforcement. Trading violations that occur on or through the systems and facilities of the NYSE, and other Exchange rule violations, will continue to investigated and prosecuted by NYSE Regulation’s Enforcement division. All enforcement actions filed with the Hearing Board by NYSE Regulation Enforcement