12/15/04		NASD Issues Warning on Systematic Investment Plans
12/15/04		NASD Orders First Command to Pay $12 Million for Misleading Statements in Sales of Systematic Investment Plans to Military Personnel
12/6/04		NASD Fines Morgan Stanley $100,000 For Municipal Bond Disclosure Violations
11/29/04		NASD Bars Former AmSouth Broker for Fraud in the Sale of Variable Annuities
10/25/04		NASD Fines Citigroup Global Markets, Inc. $250,000 In Largest Hedge Fund Sales Sanction To Date
10/6/04		NASD Charges David Lerner Associates With Using Misleading Radio Spots, Investment Seminars, Other Ads
6/9/04		SEC And NASD Release Joint Staff Report On Broker-Dealer Sales Of Variable Insurance Products
6/7/04		NASD Expels Continental Broker-Dealer Corp. for Sales Practice, Supervision Violations
6/1/04		NASD Fines Davenport & Co. In First Case Of Deceptive Market Timing In Variable Annuities
5/25/04		NASD Fines and Suspends Phua Young, Former Merrill Lynch Research Analyst
5/20/04		NASD Disciplines Three Firms, Three Brokers For Variable Annuity Abuses
5/3/04		NASD Alerts Investors Of 100 Percent Mortgage Risks
4/26/04		NASD Proposes Specific Requirements for Deferred Variable Annuity Sales
4/12/04		NASD Fines Long Island Brokerage Firm David Lerner Assoc. $100,000 for Prohibited Mutual Fund and Variable Product Sales Contests
4/5/04		NASD Fines, Suspends Former SSB Research Analyst Christine Gochuico For Misleading Reports On Winstar
3/15/04		NASD Charges Three Brokers with Suitability Violations for Recommending Investment Purchases Using Mortgage Proceeds
3/11/04		NASD Fines Ameritrade, Datek and iClearing $10 Million For Improperly Extending Credit and Allowing Trades That Avoided NASD Day Trading Margin Rules