2011 Advertising-Related News Releases

12/22/11   FINRA Fines Barclays Capital $3 Million for Misrepresentations Related to Subprime Securitizations
12/16/11   FINRA's 2011 Activities Highlight Commitment to Investor Protection
12/15/11   FINRA Fines Wells Fargo $2 Million for Unsuitable Sales of Reverse Convertibles to Elderly Customers and Failure to Provide Breakpoints on UIT Sales
11/29/11   FINRA Sanctions Eight Firms and 10 Individuals for Selling Interests in Troubled Private Placements, Including Medical Capital, Provident Royalties and DBSI, Without Conducting a Reasonable Investigation
11/22/11   FINRA Fines Wells Investment Securities $300,000 for Use of Misleading Marketing Materials for REIT Offering
11/15/11   FINRA Orders Chase to Reimburse Customers $1.9 Million for Unsuitable Sales of UITs and Floating-Rate Loan Funds
10/4/11   FINRA Issues Investor Alert on Public Non-Traded REITs
8/24/11   FINRA Warns Investors of Gold Stock Scams
7/26/11   FINRA Fines SunTrust Robinson Humphrey, SunTrust Investment Services a Total of $5 Million for Auction Rate Securities Violations
7/25/11   FINRA Warns Investors About Chasing Returns in Structured Products, High-Yield Bonds and Floating-Rate Loan Funds
6/22/11   Morgan Keegan Ordered to Pay $200 Million to Investors to Settle Allegations Regarding Sales of Bond Funds
6/2/11   SEC, FINRA Warn Retail Investors About Investing in Structured Notes With Principal Protection
5/23/11   FINRA Fines Nuveen $3 Million for Use of Misleading Marketing Materials Concerning Auction Rate Securities
5/5/11   FINRA Fines Wells Fargo Advisors $1 Million for Delays in Delivering Prospectuses to More Than 900,000 Customers
4/11/11   FINRA Fines UBS Financial Services $2.5 Million; Orders UBS to Pay Restitution of $8.25 Million for Omissions That Effectively Misled Investors in Sales of Lehman-Issued 100% Principal-Protection Notes
4/7/11   FINRA Sanctions Two Firms and Seven Individuals for Selling Private Placements Without Conducting a Reasonable Investigation
3/9/11   FINRA Expels MICG Investment Management and Bars MICG's CEO for Fraud In Connection With MICG's Venture Strategies Hedge Fund
1/11/11   FINRA Orders Schwab to Pay $18 Million to Investors for Improper Marketing of YieldPlus Bond Fund