Have a Claim?

Click here for a confidential contact or call:


May 1, 2014

Posted  January 26, 2016

The New York Stock Exchange and two affiliated exchanges along with Archipelago Securities agreed to pay a $4.5M penalty agreed to settle charges that they failed to comply with the responsibilities of self-regulatory organizations (SROs) to conduct their business operations in accordance with SEC-approved exchange rules and the federal securities laws.  SEC

Tagged in: Regulatory Violations, Securities Fraud,