SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant
to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): March 30, 2004
|
LaBRANCHE & CO INC. |
||||
|
(Exact name of registrant as specified in its charter) |
||||
|
|
|
|
|
|
|
Delaware |
|
001-15251 |
|
13-4064735 |
|
(State or other jurisdiction |
|
(Commission |
|
(IRS Employer |
|
|
|
|
|
|
|
One Exchange Plaza, New York, New York, 10006 |
|
10006 |
||
|
(Address of principal executive offices) |
|
(Zip Code) |
||
|
|
|||||
|
Registrant’s telephone number, including area code: (212) 425-1144 |
|||||
|
|
|||||
|
Not Applicable |
|||||
|
(Former name or former address, if changed since last report) |
|||||
Item 5. Other Events and Required FD Disclosure.
Attached as Exhibit 99.1 is the press release issued by the New York Stock Exchange, Inc. (the “NYSE”) and the Securities and Exchange Commission (the “SEC”) on March 30, 2004 in which they jointly announced the execution of a definitive agreement settling the NYSE and SEC investigations of LaBranche & Co. LLC’s NYSE specialist trading activity during the five-year period from 1999 to 2003. The terms of this final settlement agreement are consistent with those described in our press release issued on February 18, 2004. We hereby disclaim responsibility for any information in the attached release that does not relate to us.
Item 7. Financial Statements, Pro Forma Financial Information and Exhibits.
(a) Financial Statements of Business Acquired.
None.
(b) Pro Forma Financial Information.
None.
(c) Exhibits
99.1 Press release issued by the New York Stock Exchange, Inc. and the Securities and Exchange Commission on March 30, 2004.
All other Items of this report are inapplicable.
2
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
|
|
|
|
|
|
LaBranche & Co Inc. |
||
|
|
|
|
|
|
|
||
|
|
|
|
|
|
|
|
|
|
Date: March 31, 2004 |
|
|
|
|
By: |
/s/ Harvey S. Traison |
|
|
|
|
|
|
|
|
Name: Harvey S. Traison |
|
|
|
|
|
|
|
|
Title:
Senior Vice President and Chief |
|
3
EXHIBIT INDEX
|
Exhibit No. |
|
Description of Exhibit |
|
|
|
|
|
99.1 |
|
Press release issued by the New York Stock Exchange, Inc. and the Securities and Exchange Commission on March 30, 2004. |
4