NYSE Regulation, Inc., today announced Monthly Disciplinary Actions for January 2009.
NYSE Regulation undertakes disciplinary actions to enforce violations of NYSE and NYSE Alternext US 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 seven enforcement actions announced this month: two NYSE Arca actions, four NYSE actions, and one NYSE Alternext US action.
Here is the link to the January 2009 announcements page: