NY Stock Exchange Disciplinary Actions List
The NY Stock Exchange Disciplinary Actions List is a record of disciplinary measures taken against individuals and firms that fail to comply with exchange rules and regulations. This list includes suspensions, fines, and other penalties imposed for violations such as fraud, misconduct, or failure to meet financial responsibilities.
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6,403 Entities in NY Stock Exchange Disciplinary Actions List
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
Smith Barney Inc | Company | Jun 12, 1997 | inactive |
Wachovia Capital Markets LLC | Company | Sep 7, 2007 | inactive |
Wachovia Capital Markets LLC | Company | Jan 1, 2006 | inactive |
Wachovia Capital Markets LLC | Company | Aug 1, 2006 | inactive |
SDS Securities Corp | Company | May 17, 2007 | inactive |
Jefferies LLC | Company | Dec 16, 2024 | active |
Jefferies LLC | Company | Dec 16, 2024 | active |
Jefferies LLC | Company | Dec 16, 2024 | active |
Jefferies LLC | Company | Aug 5, 2022 | inactive |
Jefferies LLC | Company | Aug 4, 2022 | inactive |
FAQs
Why is compliance with the Norwegian Black List necessary?
Compliance with the Norwegian Black List is essential for maintaining national and international security. This list identifies individuals and entities involved in activities that threaten peace, stability, or safety. Adhering to these sanctions enhances the integrity of financial systems and prevents illicit funding of terrorism or organized crime. Moreover, compliance helps businesses avoid legal repercussions and reputational damage while promoting ethical practices in trade. Overall, supporting the Norwegian Black List is a crucial step in fostering a safer global environment.
Which companies should comply with Norwegian Black List?
Companies in sectors such as finance, shipping, and oil & gas must comply with the Norwegian Black List to ensure adherence to national sanctions. Compliance is crucial to mitigate financial and legal risks, uphold corporate integrity, and prevent transactions with entities involved in activities contrary to Norway's foreign policy and national security objectives.
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