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NEW YORK, Dec. 9, 2009 -- NYSE Regulation, Inc. today announced monthly disciplinary actions for November 2009.
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_12_2009.html
Today's announcement includes NYSE Amex actions against the following respondents:
- Brendan E. Cryan and Company L.L.C.
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Harold O'Keefe
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.
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