News Releases

NYSE Regulation Announces January Disciplinary Actions Against Three Individuals

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

Here is the link to the January 2008 announcements page for NYSE:

http://www.nyse.com/DiscAxn/discAxn_01_2008.html

About NYSE Regulation

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 Regulation Enforcement prior to the merger will be prosecuted under NYSE Rules and federal securities laws until concluded.

Contact: Scott Peterson
Phone: 212.656.4089
Email: speterson@nyse.com