FINRA

ARS-related Announcements

7/26/11		FINRA Fines SunTrust Robinson Humphrey, SunTrust Investment Services a Total of $5 Million for Auction Rate Securities Violations
5/23/11		FINRA Fines Nuveen $3 Million for Use of Misleading Marketing Materials Concerning Auction Rate Securities
4/14/11		FINRA Fines Jefferies $1.5 Million for Failing to Disclose Additional Compensation Paid and Conflicts in Sale of Auction Rate Securities
4/22/10		FINRA Fines HSBC Securities (USA) $1.5 million, US Bancorp $275,000 for Auction Rate Securities Violations
9/2/09		FINRA Announces Agreements with Three Additional Firms to Settle Auction Rate Securities Violations
5/7/09		FINRA Announces Agreements with Four Additional Firms to Settle Auction Rate Securities Violations
12/16/08		FINRA Provides Details on Special Arbitration Procedure for ARS Consequential Damages
10/23/08		FINRA Announces Agreements in Principle with Three Additional Firms to Settle Auction Rate Securities Violations
9/18/08		FINRA Announces Agreements in Principle with Five Firms to Settle Auction Rate Securities Violations
8/7/08		FINRA Creates Process for Arbitrations Involving Auction Rate Securities
3/31/08		FINRA Issues Guidance to Investors Caught in ARS Auction Failures