12/29/10		FINRA Expels APS Financial, Bars Former President and Former Broker for Targeting an Elderly Investor with Fraudulently Excessive Mark-ups
12/17/10		FINRA 2010 Year in Review
12/8/10		FINRA Foundation Releases Nation's First State-by-State Financial Capability Survey
12/3/10		FINRA Seeks Cease-and-Desist Order to Halt Ongoing Fraud and Misuse of Funds by Pinnacle Partners and its President Brian Alfaro
11/9/10		Goldman Sachs to Pay $650,000 for Failing to Disclose Wells Notices
10/22/10		Samuel Gaer to Head FINRA's Technology and TRACE Divisions
10/22/10		SEC, FINRA Announce 2011 National Seminar for Broker-Dealer CCOs
10/21/10		FINRA Names Brad Bennett as New Head of Enforcement Division
10/20/10		FINRA Orders Ferris, Baker Watts to Pay Nearly $700,000 for Inappropriate Sales of Reverse Convertible Notes
10/14/10		FINRA Foundation Military Financial Capability Survey Reveals Military Debt Problem
9/28/10		FINRA Proposes to Permanently Give Investors the Option of All-Public Arbitration Panels
9/20/10		FINRA, MSRB Remind Industry of Sales, Due Diligence and Pricing Obligations
9/20/10		FSA and FINRA Sign Cooperation Agreement
9/13/10		FINRA Sanctions Trillium Brokerage Services, LLC, Director of Trading, Chief Compliance Officer, and Nine Traders $2.26 Million for Illicit Equities Trading Strategy
8/25/10		FINRA Fines Zions Direct $225,000 for Failure to Disclose Potential Conflict of Interest in its Online CD Auctions
8/23/10		Military Spouses Receive Fellowships to Conduct Financial Counseling
8/19/10		FINRA Fines HSBC $375,000 for Unsuitable Sales of Inverse Floating Rate CMOs to Retail Customers and Related Supervisory Failures
8/18/10		Merrill Lynch to Pay More Than $2.5 Million Related to UIT Sales Charge Discount Failures
8/13/10		Securities Firms Elect Seven Industry Governors to FINRA Board of Governors; Approve Seven Proxy Proposals
8/10/10		FINRA Fines Morgan Stanley $800,000 for Deficient Conflict of Interest Disclosures in Equity Research Reports and Public Appearances by Research Analysts
8/9/10		FINRA, NASWA Deliver Job Dislocation Resource to Unemployed Workers in All 50 States
7/22/10		FINRA Orders SunTrust Investment Services to Pay $1.44 Million for Unsuitable UIT, Closed-End Fund and Mutual Fund Transactions
7/21/10		FINRA Fines Deutsche Bank Securities $7.5 Million for Negligent Misrepresentations Related to Subprime Securitizations
7/21/10		Susan Axelrod Named FINRA Executive Vice President, Sales Practice
7/15/10		FINRA Warns Investors of Social Media-Linked Ponzi Schemes, High-Yield Investment Programs
7/13/10		FINRA to Make Additional Information About Brokers, Former Brokers Publicly Available Through BrokerCheck
6/29/10		FINRA Hearing Panel Bars Broker for Manipulating Stock Price Downward to Benefit Hedge Fund Client
6/24/10		FINRA Fines Phoenix Derivatives Group, Eight Brokers at Five Firms A Total of $4.3 Million for Improper Communications About Customers' Interdealer Brokerage Rate Negotiations
6/18/10		ASIC and FINRA Sign Cooperation Agreement
6/14/10		FINRA and NYSE Euronext Complete Agreement for FINRA to Perform NYSE Regulation's Market Oversight Functions
6/1/10		The ASPIRA Association and the FINRA Investor Education Foundation Partner with National Media Groups to Launch "ASPIRA y Aprende a Invertir," a Latino Community Wealth Development Campaign
5/26/10		FINRA to Propose Expanding Registration to Firms' Back Offices
5/26/10		Citigroup Pays $1.5 Million for Supervisory Failures Related to Elaborate Scheme to Misappropriate Millions in Trust Funds Belonging to Cemeteries Located in Michigan and Tennessee
5/24/10		FINRA Fines Piper Jaffray $700,000 for Email Retention Violations, Related Disclosure, Supervisory and Reporting Violations
5/13/10		FINRA Fines Deutsche Bank Securities, National Financial Services a Total of $925,000 for Systemic Short Sale Violations
5/11/10		Florida Broker Barred for Selling Phony Financial Products, Taking More Than $1.9 Million From Clients
5/6/10		FINRA Orders Westpark Capital to Pay $400,000 for Failing to Supervise Brokers with Histories of Disciplinary Actions, Customer Complaints Who Churned Accounts, Engaged in Unauthorized and Unsuitable Trading
5/4/10		FINRA to Perform NYSE Regulation’s Market Oversight Functions
4/30/10		FINRA Proposes Expanding Arbitrator Selection Lists
4/29/10		FINRA Bars Prestige Financial Head Trader/Compliance Officer Who Scammed Customers Through Fraudulent Trading Scheme
4/27/10		FINRA Fines Five Firms $385,000 for Sale of Unregistered Securities, Other Violations Relating to Penny Stocks
4/22/10		FINRA Fines HSBC Securities (USA) $1.5 million, US Bancorp $275,000 for Auction Rate Securities Violations
4/20/10		FINRA Sets Regulatory Guidance for Investigating Private Placements
4/19/10		FINRA Charges McGinn, Smith & Co. and its President with Fraud in Sales of Unregistered Securities
4/12/10		FINRA Fines D.A. Davidson & Co. $375,000 for Failure to Protect Confidential Customer Information
4/7/10		FINRA Files Complaint Against Morgan Keegan & Company for Misleading Customers Regarding Risks of Bond Funds and Advertising, Other Violations
4/6/10		FINRA Fines Citigroup $650,000 for Direct Borrow Program Deficiencies
4/1/10		FINRA Fines Scottrade $200,000 for Pattern Day Trading Violations
3/31/10		Seattle Broker Rhonda Breard Barred for Defrauding Clients, Converting Customer Funds to Personal Use
3/18/10		Dallas-based Provident Asset Management Expelled for Marketing Fraudulent Private Placements Offered by Affiliate in Massive Ponzi Scheme
3/18/10		FINRA Enforcement Chief Susan Merrill Stepping Down
3/8/10		Applications Now Available for Military Spouses to Become Accredited Financial Counselors
3/4/10		FINRA's National Adjudicatory Council Dismisses Charges of Alleged Supervisory Violations by Senior Personnel of Knight Securities
3/4/10		FINRA Investor Education Foundation and United Way Worldwide Announce Nearly $1.5 Million in Grants to Support Grassroots Financial Education Projects
3/1/10		TRACE Reporting of Government Agency Debt, Primary Bond Market to Begin March 1
2/17/10		FINRA Proposes Further Expansion of Broker Information Publicly Available Through BrokerCheck
2/17/10		The Chartered Institute for Securities & Investment Announces Partnership With ICMA Centre and FINRA on Diploma in Investment Compliance
2/16/10		FINRA Fines H&R Block Financial Advisors $200,000 for Inadequate Supervision of Reverse Convertible Notes Sales, Suspends and Fines Broker for Unsuitable Sales to Retired Couple
2/2/10		FINRA Fines Firms $750,000 for Inadequate Anti-Money Laundering Programs, Other Violations
1/28/10		FINRA Foundation Announces $1 Million in Grants to Fund Securities Advocacy Clinics
1/25/10		FINRA Issues Guidance to Firms, Brokers on Communications with Public Through Social Networking Web Sites
1/14/10		FINRA Foundation Issues Seeking Solid Financial Footing for the Next Decade: 10 Tips for 2010
1/13/10		FINRA Investor Education Foundation and the American Library Association Announce $1.5 Million in Grants to Public Libraries to Support Grassroots Financial Literacy