NYSERegulation.com Disciplinary Actions News Releaseshttp://www.nyse.com/press/4.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesNYSE Group,Inc.en-usCopyright NYSE Group, Inc. All Rights Reserved.Wed, 07 May 2008 08:54:34 -0400 Wed, 07 May 2008 08:54:34 -0400 DisciplinaryActions NYSE 20 NYSE.com Press Release http://www.nyse.com/images/press/ny7020g2.gif http://www.nyse.com/press/4.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleases76 36 NYSE Regulation Announces May Disciplinary Actions Against Six Firms and One Individualhttp://www.nyse.com/press/1207739563611.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesWed, 07 May 2008 12:00:00 -0400http://www.nyse.com/press/1207739563611.htmlNYSE Regulation Announces March Disciplinary Actions Against Two Firms and Two Individualshttp://www.nyse.com/press/1205317958093.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesWed, 12 Mar 2008 12:00:00 -0400http://www.nyse.com/press/1205317958093.htmlNYSE Regulation Announces February Disciplinary Actions Against One Member Firm and Three Individualshttp://www.nyse.com/press/1202902640896.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesWed, 13 Feb 2008 12:00:00 -0500http://www.nyse.com/press/1202902640896.htmlNYSE Regulation Announces January Disciplinary Actions Against Three Individualshttp://www.nyse.com/press/1199963130896.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesThu, 10 Jan 2008 12:00:00 -0500http://www.nyse.com/press/1199963130896.htmlNYSE Regulation Announces December Disciplinary Actions Against Four Firms, Three Individualshttp://www.nyse.com/press/1197459690104.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesWed, 12 Dec 2007 12:00:00 -0500http://www.nyse.com/press/1197459690104.htmlNYSE Regulation Announces November Disciplinary Actions Against One Firm, Five Individualshttp://www.nyse.com/press/1194521418880.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesThu, 08 Nov 2007 12:00:00 -0500http://www.nyse.com/press/1194521418880.htmlNYSE Regulation Announces October Disciplinary Actions Against Nine Firms, Eight Individualshttp://www.nyse.com/press/1191925747821.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesWed, 10 Oct 2007 12:00:00 -0400http://www.nyse.com/press/1191925747821.htmlNYSE 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 Divisionhttp://www.nyse.com/press/1191838488330.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesMon, 08 Oct 2007 12:00:00 -0400http://www.nyse.com/press/1191838488330.htmlNYSE Regulation Announces September Disciplinary Actions Against One Firm, 11 Individualshttp://www.nyse.com/press/1189593038740.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesWed, 12 Sep 2007 12:00:00 -0400http://www.nyse.com/press/1189593038740.htmlNYSE Regulation Fines Janney Montgomery Scott $2.5 Million for Stock Loan Violationshttp://www.nyse.com/press/1186743758629.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesTue, 14 Aug 2007 12:00:00 -0400http://www.nyse.com/press/1186743758629.htmlNYSE Regulation Announces August Disciplinary Actions Against Four Firms, 9 Individualshttp://www.nyse.com/press/1186572199451.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesWed, 08 Aug 2007 12:00:00 -0400http://www.nyse.com/press/1186572199451.htmlNYSE Regulation Fines Citigroup Global Markets for Improper Market Timing of Mutual Funds by Brokershttp://www.nyse.com/press/1185186378721.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesTue, 24 Jul 2007 12:00:00 -0400http://www.nyse.com/press/1185186378721.htmlNYSE Regulation, Inc. Announces Disciplinary Actions Against Six Firms, 13 Individualshttp://www.nyse.com/press/1184151619777.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesWed, 11 Jul 2007 12:00:00 -0400http://www.nyse.com/press/1184151619777.htmlNYSE Regulation, Inc. Announces Disciplinary Actions Against Five Firms, 21 Individualshttp://www.nyse.com/press/1181818560147.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesThu, 14 Jun 2007 12:00:00 -0400http://www.nyse.com/press/1181818560147.htmlNYSE Regulation Fines J.J.B. Hilliard, W.L. Lyons, Inc. $1 Million for Sale of Unregistered Securitieshttp://www.nyse.com/press/1181298464593.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesMon, 11 Jun 2007 12:00:00 -0400http://www.nyse.com/press/1181298464593.htmlNYSE Regulation, Inc. Announces Disciplinary Actions Against One Firm, 11 Individualshttp://www.nyse.com/press/1178706636245.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesWed, 09 May 2007 12:00:00 -0400http://www.nyse.com/press/1178706636245.htmlNYSE Regulation, Inc. Announces Disciplinary Actions Against Four Firms, Four Individualshttp://www.nyse.com/press/1178706636308.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesWed, 11 Apr 2007 12:00:00 -0400http://www.nyse.com/press/1178706636308.htmlSEC and NYSE Settle Enforcement Actions Against Goldman Sachs Unit for Role in Customers' Illegal Trading Schemehttp://www.nyse.com/press/1173781656941.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesWed, 14 Mar 2007 12:00:00 -0400http://www.nyse.com/press/1173781656941.htmlNYSE Regulation, Inc. Announces Disciplinary Actions Against Two Firms, 15 Individualshttp://www.nyse.com/press/1173354274466.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesThu, 08 Mar 2007 12:00:00 -0500http://www.nyse.com/press/1173354274466.htmlNYSE Regulation Fines Deutsche Bank Securities, Inc. $1.275 Million In Two Disciplinary Actionshttp://www.nyse.com/press/1170761886458.html?sa_campaign=/rss/regulationreleases/NYSERegulation.comDisciplinaryActionsNewsReleasesThu, 08 Feb 2007 12:00:00 -0500http://www.nyse.com/press/1170761886458.html