NYSE Reg deals out July fines

NYSE Regulation Inc., the regulatory body of NYSE Euronext, had fined six companies and 13 individuals this month.

NYSE Regulation Inc., the regulatory body of NYSE Euronext, had fined six companies and 13 individuals this month.
The self-regulatory organization censured and fined Schon-Ex LLC of Jericho, N.Y. for submitting inaccurate electronic blue sheets in responses to requests for such information.
Blue sheets provide the Securities and Exchange Commission with detailed information about trades performed by its clients.
NYSE Regulation levied a $150,000 fine to Piper Jaffray & Co. of Minneapolis for effecting short sale orders in securities without having entered into an arrangement to borrow a security.
Lehman Brothers Inc., a unit of New York-based Lehman Brothers Holdings Inc. was censured and fined $140,000 for trading and reporting violations.
SG Americas Securities LLC of New York was fined $75,000 for failing to supervise its business activities and other books, records and trading violations.
J.P. Dalton & Associates Inc. of Bay Head N.J. was fined $25,000 and censured for books and records, reporting and supervisory violations.
Bishop Rosen & Co. Inc. was censured and fined $7,500 for sales practice and supervisory violations.
Each of the companies agreed to the penalties without admitting any wrongdoing.