February 7, 2007
More Improper Trading Charges Against NYSE Specialist Firms
NYSE regulators brought charges against eleven current or former employees of floor-trading speclalist firms for profiting by stepping in front of customers' trades. This brings to 35 the people charged in this three-year long investigation. Some of the employees were acquitted of criminal charges. See WSJ, NYSE Pursues 11 at Specialist Firms In Improper-Trades Case.
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