News Releases

NYSE Regulation undertakes disciplinary actions to enforce violations of NYSE, NYSE Arca and NYSE Amex rules and federal securities laws by member organizations, as well as current and former employees of those organizations.  Here is the link to the September 2009 announcement page:

http://www.nyse.com/DiscAxn/discAxn_09_2009.html

Today's announcement includes actions against the following respondents:

• Morgan Stanley & Co. Incorporated
• AGS Specialists, L.L.C., AGS Specialists II, L.L.C., and STR Specialists
• JAW Trading LLC
• Kellogg Capital Group, LLC
• Deutsche Bank Securities, Inc.
• BNY ConvergEx Execution Solutions LLC
• Heights Partners, Inc.
• Matthew Mills

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 regulates equities and options trading and listing compliance for the New York Stock Exchange, NYSE Arca, and NYSE Amex. For more information, visit http://www.nyse.com/regulation