News Releases

NYSE Regulation Announces February Disciplinary Actions Against One Member Firm and Three Individuals

This is NYSE Regulation, Inc.'s Disciplinary Actions announcement for February 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 February 2008 announcements page for NYSE:

http://www.nyse.com/DiscAxn/discAxn_02_2008.html#07-024

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 Regulation's board of directors is comprised of a majority of directors unaffiliated with any other NYSE board. As a result, NYSE Regulation is independent in its decision-making. On July 30, 2007, NYSE Regulation’s member regulation oversight functions were consolidated with NASD to form the Financial Industry Regulatory Authority (FINRA). Since the consolidation, NYSE Regulation consists of three divisions: Market Surveillance, Enforcement, and Listed Company Compliance. Trading violations that occur on or through the systems and facilities of the NYSE Group will continue to investigated and prosecuted by the Enforcement division. All enforcement actions filed with the NYSE Hearing Board 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