| Date |
Description |
| 08 Oct 08 |
NYSE Regulation Announces October Disciplinary Actions |
| 10 Sep 08 |
NYSE Regulation Announces September Disciplinary Actions Against Three Firms and Three Individuals |
| 13 Aug 08 |
NYSE Regulation Announces August Disciplinary Actions |
| 09 Jul 08 |
NYSE Regulation Announces July Disciplinary Actions Against 5 Individuals |
| 11 Jun 08 |
NYSE Regulation Announces June Disciplinary Actions Against 3 Firms and 6 Individuals |
| 07 May 08 |
NYSE Regulation Announces May Disciplinary Actions Against Six Firms and One Individual |
| 12 Mar 08 |
NYSE Regulation Announces March Disciplinary Actions Against Two Firms and Two Individuals |
| 13 Feb 08 |
NYSE Regulation Announces February Disciplinary Actions Against One Member Firm and Three Individuals |
| 10 Jan 08 |
NYSE Regulation Announces January Disciplinary Actions Against Three Individuals |
| 12 Dec 07 |
NYSE Regulation Announces December Disciplinary Actions Against Four Firms, Three Individuals |
| 08 Nov 07 |
NYSE Regulation Announces November Disciplinary Actions Against One Firm, Five Individuals |
| 10 Oct 07 |
NYSE Regulation Announces October Disciplinary Actions Against Nine Firms, Eight Individuals |
| 08 Oct 07 |
NYSE Regulation Announces Simultaneous Settlements with 15 Firms for Prospectus Delivery Failures and Other Operational and Supervisory Violations; Firms Will Pay a Total of $10.425 million and Certify Compliance to NYSE Enforcement and Risk Division |
| 12 Sep 07 |
NYSE Regulation Announces September Disciplinary Actions Against One Firm, 11 Individuals |
| 14 Aug 07 |
NYSE Regulation Fines Janney Montgomery Scott $2.5 Million for Stock Loan Violations |
| 08 Aug 07 |
NYSE Regulation Announces August Disciplinary Actions Against Four Firms, 9 Individuals |
| 24 Jul 07 |
NYSE Regulation Fines Citigroup Global Markets for
Improper Market Timing of Mutual Funds by Brokers |
| 11 Jul 07 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against Six Firms, 13 Individuals |
| 14 Jun 07 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against Five Firms, 21 Individuals |
| 11 Jun 07 |
NYSE Regulation Fines J.J.B. Hilliard, W.L. Lyons, Inc. $1 Million for Sale of Unregistered Securities |
| 09 May 07 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against One Firm, 11 Individuals |
| 11 Apr 07 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against Four Firms, Four Individuals |
| 14 Mar 07 |
SEC and NYSE Settle Enforcement Actions Against Goldman Sachs Unit for Role in Customers' Illegal Trading Scheme |
| 08 Mar 07 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against Two Firms, 15 Individuals |
| 08 Feb 07 |
NYSE Regulation Fines Deutsche Bank Securities, Inc. $1.275 Million In Two Disciplinary Actions |
| 07 Feb 07 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against Three Firms, Eight Individuals |
| 06 Feb 07 |
NYSE Regulation Takes Disciplinary Actions Against Former President of Specialist Firm, Former Specialist |
| 16 Jan 07 |
NYSE Regulation Fines Seven Specialist Firms $2.8 Million for Trading Violations |
| 10 Jan 07 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against One Firm, 15 Individuals |
| 13 Dec 06 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against Seven Firms, Eight Individuals |
| 08 Nov 06 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against Four Firms, 12 Individuals |
| 11 Oct 06 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against Six Firms, Nine Individuals |
| 05 Oct 06 |
NYSE Regulation Fines CIBC World Markets, Nandra Group and Suspends Allied Member for Stock Loan Violations |
| 13 Sep 06 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against Five Firms, Three Individuals |
| 28 Aug 06 |
NYSE Regulation Announces $270 Million Action Against Prudential For Facilitating Illegal Mutual Fund Trading Practices |
| 09 Aug 06 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against 13 Firms, 39 Individuals |
| 07 Aug 06 |
NYSE Regulation Fines A.G. Edwards & Sons $900,000 for Charging Customers Excessive Account Fees and Other Violations |
| 24 Jul 06 |
NYSE Regulation Fines Four Firms $1.25 Million for Violation of SEC Rule on Short Sales |
| 12 Jul 06 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against Eight Firms, 27 Individuals |
| 10 Jul 06 |
NYSE Regulation, Inc. Fines Van der Moolen Specialists USA, LLC $3.5 million for Stock Loan Violations |
| 13 Jun 06 |
NYSE Regulation, Inc. Fines UBS Securities, Goldman Sachs Execution & Clearing, and Credit Suisse Securities (USA) $1.35 Million for Proxy-Handling Violations in Corporate Elections |
| 07 Jun 06 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against 21 Individuals, Six Firms |
| 23 May 06 |
NYSE Regulation Fines Lehman Brothers $400,000 For Inaccurate Short-Interest Reporting of NYSE-Listed Securities |
| 10 May 06 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against Two Individuals, One Firm |
| 09 May 06 |
NYSE Regulation Announces Permanent Bars For Three Former Specialists and Members |
| 12 Apr 06 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against Five Firms, Five Individuals |
| 21 Mar 06 |
NYSE Regulation Announces 5 Year Membership Bar, 9 Month Plenary Suspension and $100,000 Fine Against Former Senior Floor Broker for Improper Floor Orders |
| 16 Mar 06 |
NYSE Regulation Announces $250 Million Action Against Bear, Stearns & Co, Inc. and Bear, Stearns Securities Corp. For Facilitating Illegal Mutual Fund Trading Practices |
| 09 Mar 06 |
NYSE Regulation, Inc. Announces Disciplinary Actions Against 27 Individuals |
| 15 Feb 06 |
NYSE Regulation Fines Deutsche Bank Securities $1 Million for Failure to Supervise Handling of Customer Proxies |
| 09 Feb 06 |
NYSE Regulation Fines Bear, Stearns & Co. Inc. $1.5 Million
Firm Disciplined for Trading Violations, Failure to Supervise Suspicious Accounts, and Improper Communications During An Internet Road Show |
| 08 Feb 06 |
NYSE Regulation Announces Disciplinary Actions Against Two Firms and Nine Individuals |
| 31 Jan 06 |
NYSE Regulation Announces Settlements with 20 Firms for Systemic Operational Failures and Supervisory Violations |
| 12 Jan 06 |
NYSE Regulation Announces a Joint Disciplinary Action Against UBS Financial Services, Inc. for Failure to Supervise Improper Market-Timing of Mutual Funds by Brokers -- Total Payment of $49.5 million Includes Disgorgement to Compensate Firm’s Customers |
| 11 Jan 06 |
NYSE Regulation Announces Disciplinary Actions Against Two Firms and Fourteen Individuals |
| 29 Dec 05 |
NYSE Regulation Announces Two Disciplinary Actions Against Oppenheimer & Co. Inc. |
| 12 Dec 05 |
NYSE Regulation Requires David A. Noyes & Co. to Pay $550,000 For Unsuitable Sales of Variable Annuities to Customers and Establishes Customer Restitution Procedures |
| 07 Dec 05 |
NYSE Regulation Announces Disciplinary Actions Against One Member Firm and Six Individuals |
| 16 Nov 05 |
NYSE Regulation Announces Disciplinary Actions Against Nomura Securities |
| 15 Nov 05 |
NYSE Regulation Fines Charles Schwab & Co. $1,000,000 For Failing to Supervise and Protect Customer Assets |
| 09 Nov 05 |
NYSE Regulation Announces Disciplinary Actions Against One Member Firm and Three Individuals |
| 02 Nov 05 |
NYSE Regulation Fines Lehman Brothers $500,000 for Failing to Reasonably Supervise Trading at the Close |
| 19 Oct 05 |
NYSE Regulation Censures and Permanently Bars Former Floor Clerk Frank J. Furino For Securities Fraud Violations |
| 12 Oct 05 |
NYSE Regulation Announces Disciplinary Actions Against Two Member Firms and Nine Individuals |
| 07 Sep 05 |
NYSE Regulation Announces Disciplinary Actions Against Four Individuals |
| 15 Aug 05 |
NYSE Regulation Fines Merrill Lynch $10 million for Failure to Deliver Customer Prospectuses, Among Other Supervisory and Operational Failures |
| 10 Aug 05 |
NYSE Regulation Announces Disciplinary Actions Against Four Individuals |
| 13 Jul 05 |
NYSE Regulation Announces Disciplinary Actions Against Four Member Firms and 15 Individuals |
| 08 Jun 05 |
NYSE Regulation Announces Disciplinary Actions Against Two Member Firms and 13 Individuals |
| 11 May 05 |
NYSE Regulation Announces Disciplinary Actions Against Two Member Firms and Six Individuals |
| 13 Apr 05 |
NYSE Regulation Announces Disciplinary Actions Against One Member Firm and Seven Individuals |
| 09 Mar 05 |
NYSE Regulation Charges Former Trading Floor Clerk Frank J. Furino with Securities Fraud |
| 09 Mar 05 |
NYSE Regulation Announces Disciplinary Actions Against Two Member Firms and 17 Individuals |
| 08 Mar 05 |
NYSE Regulation Fines Merrill Lynch, Pierce, Fenner & Smith Incorporated $13.5 million |
| 14 Feb 05 |
NYSE Regulation Fines J.P. Morgan Securities $2.1 million |
| 09 Feb 05 |
NYSE Announces Disciplinary Actions Against Two Firms and Four Individuals |
| 12 Jan 05 |
NYSE Announces Disciplinary Actions Against Seven Member Firms and 15 Individuals |
| 10 Jan 05 |
Southwest Securities To Pay $10 Million To Settle SEC AND NYSE Supervision Charges, Relating To Fraudulent Market Timing and Late Trading By Southwest Registered Representatives |
| 22 Dec 04 |
Edward Jones to Pay $75 Million to Settle Revenue Sharing Charges |
| 08 Dec 04 |
NYSE Announces Disciplinary Actions Against Seven Individuals |
| 10 Nov 04 |
NYSE Announces Disciplinary Actions Against Four Member Firms and Ten Individuals |
| 13 Oct 04 |
NYSE Announces Disciplinary Actions Against Four Member Firms and 12 Individuals |
| 22 Sep 04 |
NYSE Regulation Announces a $19 Million Agreement with Morgan Stanley Citing Failure to Deliver Customer Prospectuses and Other Supervisory and Operational Failures |
| 08 Sep 04 |
NYSE Announces Disciplinary Actions Against 11 Individuals |
| 26 Aug 04 |
Deutsche Bank Securities Inc. and Thomas Weisel Partners LLC Settle Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking |
| 11 Aug 04 |
NYSE Announces Disciplinary Actions Against Five Firms and Nine Individuals |
| 03 Aug 04 |
SEC and NYSE Charge Fidelity Brokerage Services
For Violating Federal Securities Laws and NYSE Rules in Connection With Document Alteration and Destruction |
| 26 Jul 04 |
Settlement Reached with Two Specialist Firms For Violating Federal Securities Laws and NYSE® Regulations |
| 07 Jul 04 |
NYSE® Announces Disciplinary Actions Against 16 Individuals |
| 09 Jun 04 |
NYSE Announces Disciplinary Actions Against Three Member Firms and 18 Individuals |
| 12 May 04 |
NYSE Announces Disciplinary Actions Against Five Member Firms and 14 Individuals |
| 07 Apr 04 |
NYSE Announces Disciplinary Actions Against Three Member Firms and 16 Individuals |
| 30 Mar 04 |
Settlement Reached with Five Specialist Firms
For Violating Federal Securities Laws and NYSE Regulations |
| 25 Feb 04 |
NYSE Announces Disciplinary Actions Against Seven Member Firms and Six Individuals |
| 28 Jan 04 |
NYSE Announces Disciplinary Actions Against One Member Firm and 15 Individuals |
| 17 Dec 03 |
NYSE Announces Disciplinary Actions Against Three Member Firms and Nine Individuals |
| 19 Nov 03 |
NYSE Announces Disciplinary Actions Against One Member Firm and 11 Individuals |
| 29 Oct 03 |
NYSE Announces Disciplinary Actions Against Five Member Firms and 10 Individuals |
| 16 Oct 03 |
NYSE Informs Specialist Firms of Planned Disciplinary Action
-- Systems Software Being Implemented to Deter Improper Trading -- |
| 13 Oct 03 |
SEC Charges Four Individuals with Insider Trading: NYSE Simultaneously Takes Related Action Against Dallas Stock Broker |
| 24 Sep 03 |
NYSE Announces Disciplinary Actions Against One Member Firm and 18 Individuals |
| 27 Aug 03 |
NYSE Announces Disciplinary Actions Against Seven Member Firms and Seven Individuals |
| 14 Aug 03 |
SG Cowen and Lehman Brothers Settle Enforcement Actions with SEC and NYSE for Supervisory Failures in Frank Gruttadauria Case |
| 29 Jul 03 |
NYSE Announces Disciplinary Actions Against Eight Member Firms and 19 Individuals |
| 21 Jul 03 |
NYSE and SEC Jointly Fine Spear, Leeds & Kellogg, L.P. $450,000 |
| 25 Jun 03 |
NYSE Announces Disciplinary Actions Against Four Member Firms and 20 individuals |
| 28 May 03 |
NYSE Announces Disciplinary Actions Against Two Member Firms and Five Individuals |
| 30 Apr 03 |
NYSE Announces Disciplinary Actions Against Four Member Firms and 26 Individuals |
| 28 Apr 03 |
Ten of Nation’s Top Investment Firms Settle Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking |
| 28 Apr 03 |
The Securities and Exchange Commission, New York Attorney General’s Office, NASD and the New York Stock Exchange Permanently Bar Jack Grubman and Require $15 Million Payment |
| 28 Apr 03 |
The Securities and Exchange Commission, NASD and the New York Stock Exchange Permanently Bar Henry Blodget From the Securities Industry and Require $4 Million Payment |
| 26 Mar 03 |
NYSE Announces Disciplinary Actions Against Three Member Firms and 11 Individuals |
| 26 Feb 03 |
NYSE Announces Disciplinary Actions Against Ten Individuals |
| 29 Jan 03 |
NYSE Announces Disciplinary Actions Against Six Member Firms and 20 Individuals |
