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TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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NYSE Disciplinary Actions
by Howard Haykin
GTS Securities, a NYSE member since March 2015 and a FINRA member since April 2014 … agreed to pay $97.5K in fines to settle charges that it: (i) violated SEC Rule 611(c) of Regulation NMS and NYSE Rule 13(e)(3) when it failed to send ISOs to executed against the full displayed size of certain protected quotations; and, (ii) violated NYSE Rule 19(b) when it failed to reasonably avoid displaying, and engaged in a pattern or practice of displaying, quotations that locked or crossed a protected quotation. [AWC #20150467692-02]
Citadel Securities, a NYSE member since December 2008 … agreed to pay $65K in fines to settle charges that it violated NYSE Rule 36 when certain associated persons with the Firm's Designated Market Maker Unit ("DMM") used unapproved cellular wireless devices from the NYSE Floor. [AWC #2018-01-00105]
Deutsche Bank Securities, a NYSE member since November 1982 … agreed to pay $65K in fines to settle charges that it violated NYSE Rule 3110(b)(4) by failing to establish and maintain reasonably designed procedures for the review of electronic communications because the lexicons used by Deutsche Bank as part of its review process were not reasonably designed. [AWC #2017-05-00037]
ING Financial Markets, a NYSE member since November 2001 … agreed to pay $5Mn in fines and disgorgement to settle charges that it violated NYSE Rule 2010 (Standards of Commercial Honor and Principles of Trade) in connection with borrowing and lending pre-released ADRs not backed by the underlying ordinary foreign shares. [AWC #2017-03-00048]
GTS Securities, a NYSE member since March 2015 … agreed to pay $45K in fines to settle charges that it violated NYSE Rule 36 when certain associated persons with its DMM used unapproved cellular wireless devices from the NYSE Floor. [AWC #2018-02-00065]
