12/27/12		FINRA Sanctions Five Firms $4.4 Million for Using Municipal and State Bond Funds to Pay Lobbyists
12/26/12		FINRA Orders Pruco Securities to Pay $10.7 Million in Restitution for Improper Pricing of Mutual Fund Orders; Firm Fined $550,000
12/13/12		BBB and FINRA Foundation Launch Smart Investing Website to Help Stop Investment Scams
12/12/12		John Davidson Joins FINRA Board of Governors
12/6/12		SEC, FINRA Issue New Investor Alert: Year-End Investment Considerations for Individual Investors
11/28/12		FINRA and JSDA Sign Cooperation Agreement
11/28/12		FINRA Files Complaint Charging the President and Owner of Brooklyn Brokerage Firm TWS Financial for Operating Fraudulent Scheme Targeting Polish Community
11/26/12		FINRA Statement on SEC Leadership Changes
11/13/12		FINRA Increases Transparency in the TBA Market for Agency Pass-Through Mortgage-Backed Securities
11/8/12		FINRA Expels Hudson Valley Capital Management and Bars CEO for Defrauding Clearing Firm and Customers
11/6/12		AFM and FINRA Sign MoU on Financial Market Surveillance and Supervision
11/5/12		FINRA Files Cease-and-Desist Order Against WR Rice Financial Services and its Owner Joel Wilson for Fraudulent Conduct
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
10/18/12		FINRA Expels EKN Financial Services for Defying SEC Order and For Numerous Compliance Violations
10/11/12		FINRA Fines Guggenheim Securities $800,000 for Failing to Supervise CDO Traders; Two Traders Sanctioned for Efforts to Hide Loss
10/1/12		FINRA Foundation Participates in Department of Justice-SEC Fraud Summits
9/27/12		FINRA Issues New Investor Alert: When Trading Stops: What You Need to Know About Halts, Suspensions and Other Interruptions
9/25/12		FINRA Joins Exchanges and the SEC in Fining Hold Brothers More Than $5.9 Million for Manipulative Trading, Anti-Money Laundering, and Other Violations
9/24/12		FINRA Fines Merrill Lynch $500,000 for Failing to File Required Reports
9/10/12		FINRA Announces New Head of Corporate Communications
9/4/12		FINRA Vice Chairman Stephen Luparello Leaving to Join WilmerHale
8/22/12		FINRA Fines Rodman & Renshaw $315,000 for Supervisory and Information Barrier Violations; Former Chief Compliance Officer and Two Research Analysts Sanctioned
8/20/12		Military Spouses Receive Fellowships to Conduct Financial Counseling
8/15/12		FINRA Expels WJB Capital Group, Inc. and Bars CEO and CFO for Misstating Financial Records and Net Capital Deficiencies
8/13/12		Firms Elect Three Industry Governors to FINRA Board of Governors
7/31/12		FINRA Expels Biremis, Corp. and Bars President and CEO Peter Beck
7/30/12		FINRA Marks Fifth Anniversary
7/26/12		ASC and FINRA Sign Cooperation Agreement
7/11/12		FINRA Statement on Consolidated Audit Trail
7/10/12		FINRA Issues New Investor Alert: Exchange-Traded Notes—Avoid Unpleasant Surprises
7/2/12		FINRA Launches Pilot Program for Large Arbitration Cases
6/21/12		FINRA Fines Merrill Lynch $2.8 Million for Overcharging Customers; $32 Million in Remediation Paid to Affected Customers
6/4/12		FINRA Hearing Panel Fines Brookstone Securities $1 Million for Fraudulent Sales of CMOs to Elderly
5/22/12		FINRA Fines Citigroup Global Markets $3.5 Million for Providing Inaccurate Performance Data Related to Subprime Securitizations
5/16/12		FINRA Enhances BrokerCheck Capabilities
5/16/12		FINRA Warns Investors of Nutraceutical Stock Scams
5/7/12		FINRA Names Robert L. D. Colby Chief Legal Officer
5/1/12		FINRA Sanctions Four Firms $9.1 Million for Sales of Leveraged and Inverse Exchange-Traded Funds
4/25/12		FINRA Statement on Introduction of Investment Adviser Oversight Act of 2012
4/25/12		FINRA Hearing Officer Expels Pinnacle Partners Financial Corp. and Bars President for Fraud
4/12/12		Goldman, Sachs & Co. Fined $22 Million for Supervisory Failures Relating to Trading and Equity Research
4/11/12		FINRA Foundation Study Finds Most Women Pay More When Using Credit Cards
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
3/19/12		FINRA Fines Citi International Financial $600,000 and Orders Restitution of $648,000 for Excessive Markups and Markdowns
3/1/12		FINRA Foundation Military Spouse Fellowship Application Period Open From March 1-31
2/29/12		FINRA Foundation and United Way Announce Over $1.3M to Support Grassroots Financial Education
2/23/12		FINRA Issues New Investor Alert to Help Investors Understand Their Brokerage Account Statements
2/1/12		FINRA Charges Charles Schwab & Co With Violating FINRA Rules by Using Class Action Waiver in Customer Agreements
1/27/12		FINRA Foundation and NFL Player Engagement Team Up to Assist Players Avoid Investment Fraud, Make Smart Financial Decisions
1/26/12		FINRA Warns Investors of Email Hack Attacks
1/25/12		FINRA Investor Education Foundation and the American Library Association Announce $1.2 Million in Grants to Public Libraries to Support Financial Literacy
1/25/12		FINRA Fines Merrill Lynch $1 Million for Failure to Arbitrate Disputes With Employees
1/18/12		FINRA Fines Citigroup Global Markets $725,000 for Failure to Disclose Conflicts of Interest in Research Reports
1/12/12		Large Firms Elect Gregory Fleming to FINRA Board of Governors