12/27/11		FINRA Fines Credit Suisse Securities $1.75 Million for Regulation SHO Violations and Supervisory Failures
12/22/11		FINRA Fines Barclays Capital $3 Million for Misrepresentations Related to Subprime Securitizations
12/20/11		FINRA Foundation Issues Weathering Tough Economic Times—12 Tips for 2012
12/16/11		FINRA's 2011 Activities Highlight Commitment to Investor Protection
12/16/11		FINRA Foundation 2010 Military Financial Capability Survey
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
12/13/11		Test News release - 12/13/11
12/2/11		FINRA Foundation and USA Track & Field Foundation Team Up to Help Athletes Sidestep Investment Fraud
11/30/11		SEC Staff and FINRA Issue Risk Alert on Broker- Dealer Branch Office Inspections
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
11/18/11		FINRA and Ontario Securities Commission Sign Regulatory Cooperation Arrangement
11/15/11		FINRA Orders Chase to Reimburse Customers $1.9 Million for Unsuitable Sales of UITs and Floating-Rate Loan Funds
11/14/11		FINRA Foundation Launches Redesigned SaveAndInvest.org Website
11/10/11		FINRA Fines Morgan Stanley $1 Million and Orders Restitution of $371,000 for Excessive Markups and Markdowns
10/27/11		FINRA Statement on SEC Regulatory Action
10/21/11		FINRA Fines UBS Securities $12 Million for Regulation SHO Violations and Supervisory Failures
10/18/11		FINRA Investor Alert Urges American Workers to Take Advantage of 401(k) Match
10/18/11		FINRA Launches New Securitized Product Tables
10/6/11		FINRA Foundation Supports First Lady's "Joining Forces" Initiative with Expanded Financial Education Offerings for Military Families
10/4/11		FINRA Issues Investor Alert on Public Non-Traded REITs
10/4/11		FINRA Fines Merrill Lynch $1 Million for Supervisory Failures That Allowed a Registered Representative to Operate a Ponzi Scheme
10/4/11		FINRA Names Gerri Walsh President of the FINRA Foundation, Head of Investor Education
9/29/11		FINRA Orders Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. to Pay $1.69 Million in Restitution for Charging Unfair Commissions
9/7/11		FINRA Fines Five Broker Dealers for Improper Handling Fees
8/24/11		FINRA Warns Investors of Gold Stock Scams
8/18/11		FINRA Suspends and Fines Trader; Orders Restitution for Manipulative Trading that Artificially Impacted the Market Through a Concealed Account
8/10/11		Stanford University and the FINRA Foundation Launch Fraud Prevention Research Center
8/9/11		FINRA Fines Citigroup $500,000 for Failing to Supervise Sales Assistant Who Misappropriated Customer Funds
8/3/11		Firms Elect Two Industry Governors to FINRA Board of Governors
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
7/20/11		FINRA Suspends William Bailey, Former NEXT Financial Broker, for Two Years for Improper Trading in Customer Accounts and Other Violations
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
6/2/11		FINRA Fines Northern Trust Securities, Inc. $600,000 for Inadequate Supervision of Sales of Collateralized Mortgage Obligations and Certain High-Volume Securities Trades
5/31/11		FINRA Charges David Lerner & Associates With Soliciting Investors to Purchase REITs Without Fully Investigating Suitability; Lerner Marketed REITs on its Website With Misleading Returns
5/26/11		FINRA Issues Warning on Stock-Based Loan Programs
5/26/11		FINRA Fines Credit Suisse Securities $4.5 Million and Merrill Lynch $3 Million for Misrepresentations Related to Subprime Securitizations
5/23/11		FINRA Fines Nuveen $3 Million for Use of Misleading Marketing Materials Concerning Auction Rate Securities
5/16/11		FINRA Launches New Disciplinary Actions Database
5/5/11		FINRA Fines Wells Fargo Advisors $1 Million for Delays in Delivering Prospectuses to More Than 900,000 Customers
5/4/11		FINRA Alert Warns of Japan Earthquake Related Investment Scams
5/2/11		FINRA Bars Illinois Broker for Insider Trading
4/19/11		FINRA Suspends Pinnacle Partners and its President Brian Alfaro
4/14/11		FINRA Fines Jefferies $1.5 Million for Failing to Disclose Additional Compensation Paid and Conflicts in Sale of Auction Rate Securities
4/12/11		FINRA Fines Santander Securities $2 Million for Deficiencies in Its Structured Product Business and Unsuitable Reverse Convertible Sales
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
4/4/11		FINRA Hearing Panel Expels AIS Financial, Inc. for Systemic Anti-Money Laundering Violations
3/28/11		FINRA Foundation Issues Take Control of Your Financial Future: Tips to Think About at Tax Time and Beyond
3/22/11		FINRA Fines Southwest Securities, Inc. $650,000 for Compliance Failures That Permitted Correspondent Firm Cutler Securities to Cause a $6.3 Million Single-Day Loss Through Improper Short Sales
3/15/11		FINRA Warns of Facebook-Linked Pre-IPO Scams
3/9/11		FINRA Expels MICG Investment Management and Bars MICG's CEO for Fraud In Connection With MICG's Venture Strategies Hedge Fund
3/7/11		FINRA Investor Education Foundation and United Way Worldwide Announce Over $1.8 Million in Grants to Support Grassroots Financial Education Projects
3/7/11		FINRA Fines Southwest Securities $500,000 for Paying Former Texas Municipal Issuer Officials and Others to Solicit Municipal Securities Business on its Behalf
3/2/11		FINRA Foundation Makes FICO Scores Available Free to Military Servicemembers
3/1/11		Fellowship Application Period Opens for Military Spouses to Earn Financial Counselor Designation
2/18/11		FINRA Enforcement Executive Director James Shorris Returning to Private Sector
2/17/11		FINRA Imposes Fines Totaling $600,000 Against Lincoln Financial Securities and Lincoln Financial Advisors for Failure to Protect Confidential Customer Information
2/7/11		FINRA Investor Education Foundation and the American Library Association Announce $1.4 Million in Grants to Public Libraries to Support Grassroots Financial Literacy
2/1/11		SEC Approves FINRA Proposal to Give Investors Permanent Option of All Public Arbitration Panels
1/21/11		FINRA Foundation and NFL Team Up to Help Players Avoid Investment Fraud, Make Smart Financial Decisions
1/19/11		Statement of FINRA Regarding the SEC's Study on Enhancing Investment Adviser Examinations
1/11/11		FINRA Orders Schwab to Pay $18 Million to Investors for Improper Marketing of YieldPlus Bond Fund