NYSE fines five firms for rule violations
James Langton
Investment Executive, 13 September 2006
NYSE Regulation announced that it has disciplined five firms for a variety of rule violations.
J.P. Morgan Securities Inc. was disciplined for violation of SEC rules on short sales, NYSE order rules and supervisory violations. It consented without admitting or denying guilt to findings of operational deficiencies concerning Regulation SHO, violating NYSE order rules, and books and records and supervisory violations.
