NYSE Regulation, Inc., today announced Monthly Disciplinary Actions for July 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.
There are five enforcement actions announced this month: all are NYSE Amex actions.
Here is the link to the July 2009 announcement page:
http://www.nyse.com/DiscAxn/discAxn_07_2009.html#
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 nyse.com/regulation .