NYSE Regulation, Inc. today announced Monthly Disciplinary Actions for October 2008. NYSE Regulation undertakes disciplinary action to enforce violations of NYSE rules and federal securities laws by member organizations, NYSE Arca rules and federal securities laws by permit holders, as well as current and former employees of those organizations.
There are two enforcement actions announced this month: one NYSE case against a firm and one NYSE Arca actions against a permit holder.
Here is the link to the October 2008 announcements page: