12/29/09		FINRA Warns Investing Public of Green Energy Investment Scams
12/21/09		FINRA Fines Pacific Cornerstone Capital, CEO $750,000 for Private Placement Offering Failures
12/15/09		FINRA Foundation Releases Inaugural Financial Capability Survey
12/8/09		FINRA Expels Meeting Street Brokerage, Bars Broker, Sanctions Firm's Owner for Market Manipulation, Other Violations
11/23/09		FINRA Fines Terra Nova Financial $400,000; Firm Made Over $1 Million in Improper Soft Dollar Payments
11/18/09		FINRA Fines MetLife Securities and Affiliates $1.2 Million for Email Supervision Failures
11/17/09		FINRA Wins Okay for Major Expansion of BrokerCheck, Will Permanently Disclose Disciplinary Actions Against Former Brokers
11/13/09		Securities Regulators to Talk Financial Literacy With Students
11/4/09		FINRA Bars California Broker for Insider Trading
10/29/09		AMF and FINRA Sign MoU on Financial Market Surveillance and Supervision
10/26/09		Scottrade Fined $600,000 for Inadequate Anti-Money Laundering Program
10/15/09		FINRA Announces Two New Members of Board of Governors
10/12/09		FINRA Fines Citigroup $600,000 for Failing to Supervise Tax-Related Stock Transactions
10/8/09		FINRA Bars Former New York Broker for Defrauding Elderly Investor of More Than $500,000
10/5/09		FINRA to Expand Program Evaluating All-Public Arbitration Panels
10/5/09		FINRA Warns Public of Scam Using Fake FINRA Emails in "Phishing" Scheme
10/2/09		Statement From FINRA Chairman and CEO Richard G. Ketchum on the Report of the Special Review Committee of the FINRA Board of Governors
10/1/09		FINRA Proposes Expanding TRACE Reporting to Asset-Backed Securities
9/29/09		TRACE Bond Reporting to Now Cover Government Agency Debt
9/22/09		FINRA Fines Citigroup Global Markets, UBS and Deutsche Bank $425,000, Orders Customer Restitution for Supervisory Failures in Vonage IPO
9/15/09		FINRA Panel Bars New Jersey Broker for Misappropriating Funds From 97-Year-Old Widow's Charitable Foundation
9/2/09		FINRA Announces Agreements with Three Additional Firms to Settle Auction Rate Securities Violations
8/31/09		FINRA Bars Brokers in Multi-Million-Dollar Ponzi Schemes
8/25/09		FINRA Bars Citigroup Sales Assistant for Taking More Than $850,000 From Customers, Falsifying Records, Making Unauthorized Trades
8/18/09		FINRA Expels Maximum Financial for Net Capital, AML, Other Violations While Engaging in Retail Foreign Currency Exchange Business
8/18/09		FINRA, SEC Warn Retail Investors About Investing in Leveraged or Inverse ETFs
8/12/09		Military Spouses Awarded Financial Counseling Fellowships
8/11/09		FINRA Bars AGSI Broker for Misappropriating $90,000 Inheritance From Two Sisters
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
8/5/09		FINRA Hearing Panel Expels Legacy Trading Co., Bars Firm's CEO, Imposes Fine of More Than $1 Million
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
7/27/09		FINRA Permanently Bars Broker Operating Ponzi Scheme Involving Customers of Broker-Dealers
7/23/09		FINRA Fines Bank Broker-Dealers $1.65 Million for Supervisory Failures in Variable Annuity, Mutual Fund and UIT Transactions
7/22/09		FINRA Fines NEXT Financial Group $1 Million for Supervisory Failures That Led to Churning of Customer Accounts, Excessive Commissions
7/15/09		FINRA Warns Public of Scam Using Fake FINRA Checks
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
6/17/09		FINRA Fines Raymond James, RBC Capital Markets Corporation, Stock Loan Trader for Improper Stock Loan Practices
6/15/09		FINRA Launches Enhanced Investor Protection and Education Programs
6/11/09		FINRA Announces Four New Members of its Board of Governors
6/4/09		FINRA Fines Three Firms Over $1.25 Million for Failing to Detect, Investigate and Report Suspicious Transactions in Penny Stocks
5/28/09		FINRA Charges Six Former Brookstreet Securities Brokers with Fraud in Connection with Retail Sales of Collateralized Mortgage Obligations
5/18/09		FINRA Expels Kirlin Securities, Bars co-CEO and Head Trader for Market Manipulation of Parent Company Stock
5/11/09		RD Capital Group and Firm President Ordered to Pay $1 Million in Fines, Restitution for Fraudulent Markups of U.S. Treasury STRIPS
5/7/09		FINRA Announces Agreements with Four Additional Firms to Settle Auction Rate Securities Violations
5/5/09		FINRA Bars Broker for Converting and Improperly Using More Than $500,000 from a Catholic Nun's Holdings, Another $80,000 from Three Elderly Customers
4/28/09		FINRA Fines Centaurus Financial $175,000 for Failure to Protect Confidential Customer Information
4/27/09		FINRA to Propose Expanding BrokerCheck to Permanently Disclose Disciplinary Histories of Former Brokers
4/14/09		FINRA Fines Fifth Third Securities $1.75 Million for 250 Unsuitable Variable Annuities Transactions
4/9/09		FINRA Fines Edward Jones $900,000 for Failing to Timely Deliver Official Statements to Customers in Municipal Bond Sales
3/30/09		Fellowships Available for Military Spouses to Earn Financial Counseling Accreditation
3/25/09		Morgan Stanley to Pay More than $7 Million to Resolve FINRA Charges Relating to Misconduct in Early Retirement Investment Promotion
3/24/09		FINRA Fines Wachovia Securities and First Clearing $1.1 Million for Failing to Provide Required Notifications to Customers
3/23/09		FINRA Fines 25 Firms More Than $2.1 Million for Failures in Mutual Fund Breakpoint Review, Other Violations
3/19/09		FINRA Hearing Panel Fines Mutual Service Corp. More than $1.5 Million for Supervisory Failures, Falsifying Records Relating to VA Exchanges
3/18/09		FINRA Proposes Pilot Program for Margining Credit Default Swaps
3/17/09		FINRA Fines Citigroup Global Markets $2 Million For Range of Trade Reporting Violations
3/10/09		First New York Securities, Four of its Former Traders Ordered to Pay Over $436,000 for Covering Short Sales with Secondary Offering Shares
3/9/09		FINRA Seeks Major Expansion of TRACE Reporting
3/5/09		FINRA Announces Creation of "Office of the Whistleblower"
2/25/09		FINRA Investor Alert, Online Tools Help Investors Protect Themselves From Financial Fraud
2/24/09		Richard G. Ketchum Named FINRA's Chief Executive Officer
2/23/09		Better Business Bureau of Metropolitan New York, FINRA Introduce Resource for Workers to Make Smart Financial Decisions After a Job Loss
2/19/09		Nearly Half of U.S. Servicemembers Confident About Retirement, 22 Percent Unaware of Thrift Savings Plan, New FINRA Foundation Survey Shows
2/18/09		FINRA Fines Robert W. Baird & Co. $500,000 for Fee-Based Account, Breakpoint Violations
2/12/09		FINRA Fines Wachovia Units More Than $4.5 Million for Failures Relating to Trust and Mutual Fund Sales
1/24/09		FINRA Investor Education Foundation and the ALA Announce Nearly $882,000 in Grants to Public Libraries to Support Grassroots Financial Literacy
1/23/09		FINRA Board of Governors Launches Search to Replace Schapiro; Stephen Luparello to Serve as Interim FINRA CEO
1/13/09		FINRA Fines Leonard & Co. for Sale of Unregistered Securities, Bars Broker for Unregistered Penny Stock Sales, Other Violations
1/8/09		SEC Approves FINRA Rule to Drastically Limit Motions to Dismiss in Arbitration
1/2/09		E*Trade Units Fined $1 Million for Inadequate Anti-Money Laundering Program