NYSE Regulation, Inc. today announced Monthly Disciplinary Actions for December 2008.
NYSE Regulation undertakes disciplinary actions to enforce violations of NYSE rules and federal securities laws by member organizations, NYSE Arca rules and federal securities laws by permit holders, as well as current and former employees of those organizations.
There are four enforcement actions announced this month: one NYSE case against a firm, one NYSE case against a floor employee, and two NYSE Arca actions against a permit holder (one for equities, another for options).
Here is the link to the December 2008 announcements page:
