10/22/12		FINRA Sanctions David Lerner Associates $14 Million for Unfair Practices in Sale of Apple REIT Ten and for Charging Excessive Markups on Municipal Bonds and CMOs
7/10/12		FINRA Issues New Investor Alert: Exchange-Traded Notes—Avoid Unpleasant Surprises
4/12/12		Goldman, Sachs & Co. Fined $22 Million for Supervisory Failures Relating to Trading and Equity Research
4/4/12		FINRA Hearing Panel Fines David Lerner Associates $2.3 Million for Selling Municipal Bonds, CMOs to Retail Customers at Unfair Prices, and for Supervisory Violations
1/18/12		FINRA Fines Citigroup Global Markets $725,000 for Failure to Disclose Conflicts of Interest in Research Reports