News Releases |
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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 January 2010 announcement page:
http://www.nyse.com/DiscAxn/discAxn_01_2010.html
Today's announcement includes NYSE, NYSE Amex and NYSE Arca actions against the following respondents:
Today's announcement includes NYSE, NYSE Amex and NYSE Arca actions against the following respondents:
- Credit Suisse Securities (USA) LLC
- EWT, LLC
- Cutler Group, L.P.
- Naum Voloshin
- Brian Malat
- William M. Begley, Jr.
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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