NYSE Regulation reports that it has disciplined several firms for a variety of violations of exchange rules, and several individuals have also been sanctioned, including one that got into a fight in the exchange floor.

RBC Capital Markets Corp. was one of the firms reported disciplined today. It consented without admitting or denying guilt to findings of filing inaccurate short position reports and failing to supervise. It agreed to a censure and US$225,000 fine to be paid jointly to NYSE, FINRA, and Amex in three equal payments of US$75,000 to each.

Additionally, Citigroup Global Markets, Inc. consented without admitting or denying guilt to findings of violations regarding the reporting of short interest positions. The NYSE imposed a penalty of a censure and US$300,000 fine, to be paid jointly to NYSE and FINRA in two equal payments of US$150,000 to each.

Several firms also consented without admitting or denying guilt to findings of trading violations. The NYSE imposed a penalty of censure and US$100,000 fine on Merrill Lynch, Pierce, Fenner & Smith Inc. for its violations. Nasdaq Execution Services, LLC consented to a penalty of a censure and US$190,000 fine. And, Susquehanna Brokerage, L.P. consented to a penalty of a censure and US$75,000 fine.

UBS Securities LLC also admitted to failing to include required disclosures in published research reports. It consented to censure and a US$150,000 fine.

HSBC Securities (USA) Inc., consented without admitting or denying guilt to findings of sales practice violations. In addition to the imposition of a US$500,000 fine for this conduct, HSBC consented to an undertaking that requires the firm to offer to repurchase certain customers’ LIBOR CDs at full principal value, along with the right to retain any earned interest.

As previously announced, numerous firms agreed to sanctions for prospectus delivery violations.

Along with various other cases brought against individuals, the NYSE said that a floor broker was disciplined for acts detrimental to the interest or welfare of the exchange by engaging in physical altercation with another floor broker while on the trading floor. The broker, consented without admitting or denying guilt to findings of engaging in acts detrimental. He also consented to a penalty of a censure and a two-week suspension.