2009 Advertising-Related News Releases

12/21/09   FINRA Fines Pacific Cornerstone Capital, CEO $750,000 for Private Placement Offering Failures
11/18/09   FINRA Fines MetLife Securities and Affiliates $1.2 Million for Email Supervision Failures
8/18/09   FINRA, SEC Warn Retail Investors About Investing in Leveraged or Inverse ETFs
8/10/09   FINRA Fines Credit Suisse $275,000 for Failing to Comply With Terms of Global Research Analyst Settlement
8/6/09   Ameritas Fined $100,000 for Use of Misleading College Funding Plans to Sell Variable Life Products
7/28/09   FINRA Fines Merrill Lynch, UBS for Supervisory Failures in Sales of Closed-End Funds; Customers Get More Than $5 Million in Remediation
7/23/09   FINRA Fines Bank Broker-Dealers $1.65 Million for Supervisory Failures in Variable Annuity, Mutual Fund and UIT Transactions
6/30/09   FINRA Takes Sweeping Action to Protect Muni Bond Investors
6/30/09   FINRA Fines ICAP $2.8 Million, Fines and Suspends Former Broker for Improper Communications with Other Interdealer Brokers About Customers' Brokerage Rate Negotiations in Wholesale CDS Market
6/25/09   FINRA Fines Wachovia Securities $1.4 Million for Prospectus Delivery Failures, Related Supervisory Violations
5/7/09   FINRA Announces Agreements with Four Additional Firms to Settle Auction Rate Securities Violations
4/14/09   FINRA Fines Fifth Third Securities $1.75 Million for 250 Unsuitable Variable Annuities Transactions
3/25/09   Morgan Stanley to Pay More than $7 Million to Resolve FINRA Charges Relating to Misconduct in Early Retirement Investment Promotion