11/26/02		NASD Board Approves Proposed Interpretive Material Regarding Investment Analysis Tools
10/28/02		NASD Fines and Suspends Research Analyst for Misusing Confidential Information Obtained in Clinical Drug Trial; Sterling Financial and Others Also Sanctioned for Misleading and Inaccurate Research Reports
10/17/02		NASD Charges National Capital Securities, Its President and Two Research Analysts with Issuing Fraudulent Research Reports
9/23/02		Salomon Smith Barney Fined $5 Million for Issuing Misleading Research Reports on Winstar; Charges Filed Against Jack Grubman and Christine Gochuico