{"id":252,"date":"2007-10-21T12:50:30","date_gmt":"2007-10-21T12:50:30","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2007\/10\/hsbc_securities_citigroup_glob"},"modified":"2021-11-12T13:08:33","modified_gmt":"2021-11-12T19:08:33","slug":"hsbc-securities-citigroup-glob","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/hsbc-securities-citigroup-glob\/","title":{"rendered":"HSBC Securities, Citigroup Global Markets Inc., UBS Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Inc., and Interactive Brokers LLC Among Firms Disciplined by NYSER"},"content":{"rendered":"

\t\t\t\tThe New York Stock Exchange Regulation Inc. is disciplining nine companies and eight people for numerous violation. The firms disciplined include:<\/p>\n

Merrill Lynch, Pierce, Fenner & Smith:<\/em><\/strong> Fined $100,000 for violating rule 123c about 480 times when it cancelled or submitted securities orders after the mandatory cutoff period.<\/p>\n

Citigroup Global markets Inc:<\/em><\/strong> Find $300,000-half of this to be payed to NASDAQ; the other half to be paid to NYSE. The firm made inaccurate reports about short interest positions in securities that were listed on the NYSE. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The New York Stock Exchange Regulation Inc. is disciplining nine companies and eight people for numerous violation. The firms disciplined include: Merrill Lynch, Pierce, Fenner & Smith: Fined $100,000 for violating rule 123c about 480 times when it cancelled or submitted securities orders after the mandatory cutoff period. Citigroup Global markets Inc: Find $300,000-half of […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3820,3849,3850,3800,3851,3755],"tags":[],"class_list":["post-252","post","type-post","status-publish","format-standard","hentry","category-citigroup","category-hsbc","category-interactive-brokers-llc","category-merrill-lynch","category-nyser","category-ubs"],"yoast_head":"\nHSBC Securities, Citigroup Global Markets Inc., UBS Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Inc., and Interactive Brokers LLC Among Firms Disciplined by NYSER — Investor Lawyers Blog — October 21, 2007<\/title>\n<meta name=\"description\" content=\"The New York Stock Exchange Regulation Inc. is disciplining nine companies and eight people for numerous violation. 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