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SEC sustains most NYSE judgments against Lek Securities Corporation

Traders work on the floor of the New York Stock Exchange.
Photo: Michael M. Santiago/Getty Images
Alexander Barzacanos profile image

Alexander Barzacanos

1 min read

LSC argued that the NYSE’s monetary penalties were excessive, and judgments related to faulty supervision were redundant.

The SEC has sustained most of the disciplinary penalties imposed by the New York Stock Exchange (NYSE) on Lek Securities Corporation (LSC), a conclusion to a case dating all the way back to 2008-10.

While most of the penalties related to market manipulation were upheld, the SEC set aside some

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