SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM 8-K
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CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported) November 14, 2002
LaBRANCHE & CO INC.
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(Exact name of registrant as specified in its charter)
Delaware 001-15251 13-4064735
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(State or other jurisdiction (Commission (IRS Employer
of incorporation) File Number) Identification No.)
One Exchange Plaza, New York, New York, 10006 10006
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(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code: (212) 425-1144
Not Applicable
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(Former name or former address, if changed since last report)
ITEM 7. FINANCIAL STATEMENTS, PRO FORMA FINANCIAL INFORMATION AND EXHIBITS.
(c) EXHIBITS.
99.1 Certification of George M.L. LaBranche, IV, Chairman, Chief
Executive Officer and President of LaBranche, regarding the
information contained in LaBranche's Quarterly Report on Form
10-Q for the period ended September 30, 2002.
99.2 Certification of Harvey S. Traison, Senior Vice President and
Chief Financial Officer of LaBranche, regarding the information
contained in LaBranche's Quarterly Report on Form 10-Q for the
period ended September 30, 2002.
ITEM 9. REGULATION FD DISCLOSURE.
On November 14, 2002, LaBranche & Co Inc. ("LaBranche") filed its Quarterly
Report on Form 10-Q for the period ended September 30, 2002 with the Securities
and Exchange Commission. Accompanying the Form 10-Q, as required by 18 U.S.C.
Section 1350 adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002,
were written certifications of George M.L. LaBranche, IV, Chairman, Chief
Executive Officer and President of LaBranche, and Harvey S. Traison, Senior Vice
President and Chief Financial Officer of LaBranche, regarding the information
contained in the Form 10-Q. The written certifications are attached as Exhibits
99.1 and 99.2 to this Report.
LIMITATION ON INCORPORATION BY REFERENCE
In accordance with general instruction B.2 of Form 8-K, the information in
this Report is furnished pursuant to Item 9 and shall not be deemed to be
"filed" for the purposes of Section 18 of the Securities Exchange Act of 1934,
or otherwise subject to the liability of that section, and shall not be
incorporated by reference into any registration statement filed pursuant to the
Securities Act of 1933, as amended.
All other Items of this report are inapplicable.
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: November 14, 2002 By: /s/ Harvey S. Traison
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Name: Harvey S. Traison
Title: Senior Vice President and Chief
Financial Officer
EXHIBIT INDEX
EXHIBIT NO. DESCRIPTION OF EXHIBIT
99.1 Certification of George M.L. LaBranche, IV, Chairman, Chief
Executive Officer and President of LaBranche, regarding the
information contained in LaBranche's Quarterly Report on Form
10-Q for the period ended September 30, 2002.
99.2 Certification of Harvey S. Traison, Senior Vice President and
Chief Financial Officer of LaBranche, regarding the information
contained in LaBranche's Quarterly Report on Form 10-Q for the
period ended September 30, 2002.