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