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4/24/08
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FINRA Alert Cautions Investors on Speculating with Catastrophe Bonds and Other Event-Linked Securities
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4/22/08
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FINRA Introduces Resources for Companies, Employees to Guard Against Early Retirement Seminar Scams
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3/31/08
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FINRA Issues Guidance to Investors Caught in ARS Auction Failures
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3/13/08
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FINRA Warns Senior Investors About Reversing Fortunes With Reverse Mortgages
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2/28/08
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FINRA Settles with Five Firms for Supervisory Failures, Improper Mutual Fund Sales to More than 5,300 Households; Tens of Millions of Dollars to be Returned to Customers
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2/14/08
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FINRA Charges Broker for Misappropriating Almost $400,000 from 97-Year-Old Widow and Her Charitable Foundation
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2/8/08
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SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors
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1/29/08
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FINRA Fines Banc One for Unsuitable Variable Annuity Sales, Inadequate Supervision of Fixed-to-Variable Annuity Exchanges
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1/9/08
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SMH Capital Fined $450,000 for Procedural Failures Regarding Soft Dollar Payments, Distributing Improper Hedge Fund Sales Materials
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11/12/07
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FINRA Expands Investor Education Outreach with Integrated, Multimedia Advertising Campaign Aimed at Baby Boomers
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11/6/07
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FINRA Publishes Guidance, Text for New Rule Governing Deferred Variable Annuity Transactions
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10/23/07
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FINRA Investor Education Foundation Funds Research to Improve Disclosure of Financial Product Information
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10/23/07
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FINRA Investor Education Foundation Funds Research Examining How Disclosures Can Help Investors Understand Risk and Minimize Fees
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10/23/07
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FINRA Investor Education Foundation Funds Education Program for Older Investors with Securities Disputes
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10/23/07
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FINRA Investor Education Foundation Funds Research on Financial Risk of Longevity in Retirement
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9/10/07
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FINRA Announces Major Regulatory Sweeps at Senior Summit
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7/11/07
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In First Case of Its Kind, NASD Charges Former Securities America Broker with Misleading Union Retirement Plans About Receipt of More Than $280,000 in Improper Directed Brokerage Commissions, Other Payments
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6/27/07
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NASD Fines Wells Fargo Securities $250,000 for Failing to Disclose Analyst's Employment with Covered Company in Research Report
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6/6/07
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Citigroup Global Markets to Pay Over $15 Million to Settle Charges Relating to Misleading Documents and Inadequate Disclosure in Retirement Seminars, Meetings for BellSouth Employees
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5/8/07
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NASD Fines Two Fidelity Broker Dealers $400,000 for Distributing Misleading Sales Literature About Systematic Investment Plans Sold to Military Personnel
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5/8/07
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NASD, State Regulators Issue Joint Statement to Support Insurance Regulators' Model Annuity Suitability Regulation
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4/23/07
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Touting "China" Stocks Latest "Pump and Dump" Scheme, NASD Alert Says
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4/16/07
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NASD Alert Advises Investors to Consider Global Market Risk When Investing
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2/21/07
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NASD Fines Raymond James Financial Services, Inc. $2.75 Million for Lax Supervision of Producing Branch Managers
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2/8/07
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NASD Investor Alert Cautions Investors About Life Settlements
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2/5/07
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NASD Fines Four Fidelity-Affiliated Broker-Dealers $3.75 Million for Registration, Supervision and Email Retention Violations
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12/18/06
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NASD Fines USAllianz Securities $5 Million for Widespread Supervisory, Record-Keeping Violations
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11/6/06
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"I hope this is your email" Scam Offers No Hope of Profits
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11/6/06
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NASD Fines Chase Investment Services, MetLife Securities $500,000 Each for Supervisory Violations in 529 College Savings Plan Sales
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10/16/06
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NASD Fines Citizens Bank Affiliate, CCO Investment Services Corp., $850,000 For Supervisory, Recordkeeping, Telemarketing, Other Violations
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9/14/06
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NASD Fines Securities America $2.5 Million, Orders $13.8 Million in Restitution in Investment Scheme Aimed at Exxon Retirees
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9/14/06
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NASD Investor Alert Warns Workers About Early Retirement Investment Pitches
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7/17/06
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NASD Foundation Study Examines What Makes Elderly Susceptible to Investment Fraud
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7/5/06
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Taking the Mystery Out of Regulatory Processes: NASD Launches Plain-English Webcasts for Compliance Officers and Staff
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5/31/06
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NASD Fines LaSalle Street Securities $200,000 for Supervisory Violations Related to Fraudulent Schemes Perpetrated by Broker Frank Devine
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5/30/06
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NASD Hearing Panel Bars Municipal Securities Broker for Fraudulent Sales Practices
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5/18/06
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NASD Introduces Compliance Podcasts to Get Industry's Ear
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5/16/06
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Joint Statement of NASD Chairman and CEO Robert Glauber, Minnesota Commerce Commissioner Glenn Wilson Regarding Success of Annuity Roundtable
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4/26/06
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NASD Suspends Broker for 90 Days, Imposes Fine and Disgorgement Totaling $400,000 for Short Sale Violations
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4/26/06
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NASD Investor Alert Warns Workers About Cashing Out of 401(k) Plan
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4/6/06
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NASD Charges A.B. Watley and Former Brokers With Facilitating Mutual Fund Late Trading and Market Timing for Hedge Funds
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4/5/06
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NASD Fines AIG Affiliate American General Securities, Inc. Over $1.1 Million for Directed Brokerage Violations
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3/30/06
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Free Financial Education Forum for Military Personnel And Families Featuring Top Regulators, Sen. Daniel Akaka Set for Honolulu
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3/15/06
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NASD Fines Merrill Lynch $5 Million for Call Center Supervisory Failures, Sales Contest Violations
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3/2/06
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David Lerner Associates Suspended from Conducting New Business in Variable Annuities, Variable Life Insurance for 30 Days,
Fined $400,000 for Violations of New York State, NASD Regulations
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2/22/06
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NASD, MSRB Issue Joint Statement Pledging Cooperation to Harmonize Mutual Fund, 529 Plan Sales Rules
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2/14/06
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NASD Orders Diversified Investors Securities to Pay Over $2.2 Million for Facilitating Market Timing
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2/8/06
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Sanford C. Bernstein & Co., Research Analyst Brad Hintz Fined $550,000 for Violations of Research Analyst Conflict of Interest Rules
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2/1/06
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NASD Foundation Funds Research to Improve Financial Product Disclosure Information and Calls for Additional Research Proposals
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1/9/06
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NASD Charges Oppenheimer & Co. and CEO Albert Lowenthal with Knowingly Producing Inaccurate Data to NASD in Breakpoint Sweep
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10/6/05
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NASD, NYSE Regulation, and NASAA Applaud SEC Approval of New, Uniform Definition of "Branch Office" and Centralized Registration System
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9/30/05
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NASD Fines David Lerner Associates $115,000 For Misleading Advertising and Communications With The Public
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9/29/05
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Edward D. Jones Fined $300,000 for Failing to Disclose Municipal Bond Yields on Confirmations to Customers
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8/8/05
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NASD Issues Guidance Regarding Equity Indexed Annuity Sales
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8/2/05
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NASD Orders Morgan Stanley to Pay Over $6.1 Million for Fee-Based Account Violations
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7/6/05
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NASD Fines Hornor, Townsend & Kent, Inc. $325,000 for Improper Sales Contests, Email and Supervision Violations
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6/13/05
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NASD Charges Pennsylvania's Scott W. Ryan, Ryan & Company with Impermissible Short Selling Scheme for Hedge Fund Clients
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5/4/05
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NASD Investor Education Foundation Calls for Research Aimed at Improving Information Disclosed to Investors
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4/29/05
|
Waddell & Reed, Inc. Agrees to Pay $5 Million Fine, up to $11 Million in Restitution to Settle NASD Charges
Relating to Variable Annuity Switching Campaign
|
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4/27/05
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NASD Fines Raymond James $750,000 for Fee-Based Account Violations
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4/13/05
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NASD Sanctions First Command Broker for Deceptive Conduct
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4/6/05
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NASD Offers Firms Best Practices for Reviewing New Investment Products
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4/4/05
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NASD Endorses Concise, Web-Based Point of Sale Mutual Fund Disclosure
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3/30/05
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Thomas Weisel Partners to Pay $1.75 Million to Settle NASD Charges of IPO, E-Mail Retention Violations
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3/23/05
|
NASD Fines Citigroup Global Markets, American Express and Chase Investment Services More Than $21 Million for Improper Sales
of Class B and C Shares of Mutual Funds
|
|
3/16/05
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Jefferson Pilot to Pay Over $500,000 in First VUL Market Timing Action;
NASD Also Fines Affiliate $125,000 for E-Mail Retention Violations
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3/7/05
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NASD Charges Knight Securities' Kenneth Pasternak, John Leighton
With Supervisory Violations in Fraudulent Sales to Institutional Customers
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|
2/24/05
|
NASD Charges California Broker With Fraud in Municipal Securities Transactions
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1/14/05
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NASD Fines Analyst $75,000 for Circulating Rumor
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1/12/05
|
Banc One Securities Corporation Fined $400,000 for Supervisory Failures Relating to Late Trading
|
|
12/15/04
|
NASD Issues Warning on Systematic Investment Plans
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|
12/15/04
|
NASD Orders First Command to Pay $12 Million for Misleading Statements in Sales of Systematic Investment Plans to Military Personnel
|
|
12/6/04
|
NASD Fines Morgan Stanley $100,000
For Municipal Bond Disclosure Violations
|
|
11/29/04
|
NASD Bars Former AmSouth Broker for Fraud in the Sale of Variable Annuities
|
|
10/25/04
|
NASD Fines Citigroup Global Markets, Inc. $250,000 In Largest Hedge Fund Sales Sanction To Date
|
|
10/6/04
|
NASD Charges David Lerner Associates With Using Misleading Radio Spots, Investment Seminars, Other Ads
|
|
6/9/04
|
SEC And NASD Release Joint Staff Report On Broker-Dealer Sales Of Variable Insurance Products
|
|
6/7/04
|
NASD Expels Continental Broker-Dealer Corp. for Sales Practice, Supervision Violations
|
|
6/1/04
|
NASD Fines Davenport & Co. In First Case Of Deceptive Market Timing In Variable Annuities
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|
5/25/04
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NASD Fines and Suspends Phua Young, Former Merrill Lynch Research Analyst
|
|
5/20/04
|
NASD Disciplines Three Firms, Three Brokers For Variable Annuity Abuses
|
|
5/3/04
|
NASD Alerts Investors Of 100 Percent Mortgage Risks
|
|
4/26/04
|
NASD Proposes Specific Requirements for Deferred Variable Annuity Sales
|
|
4/12/04
|
NASD Fines Long Island Brokerage Firm David Lerner Assoc. $100,000 for Prohibited Mutual Fund and Variable Product Sales Contests
|
|
4/5/04
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NASD Fines, Suspends Former SSB Research Analyst Christine Gochuico For Misleading Reports On Winstar
|
|
3/15/04
|
NASD Charges Three Brokers with Suitability Violations for Recommending Investment Purchases Using Mortgage Proceeds
|
|
3/11/04
|
NASD Fines Ameritrade, Datek and iClearing $10 Million For Improperly Extending Credit and Allowing Trades That Avoided NASD Day Trading Margin Rules
|
|
10/13/03
|
NASD Sanctions Wells Investment Securities and its President for Non-Cash Compensation Rule Violations
|
|
9/16/03
|
NASD Fines Morgan Stanley $2 Million for Prohibited Mutual Fund Sales Contests
|
|
8/18/03
|
NASD Files Three Enforcement Actions for Fraudulent Hedge Fund Offerings
|
|
8/12/03
|
NASD Files Enforcement Actions Involving Unsuitable Sales of Mutual Funds
|
|
8/7/03
|
NASD Proposes Disclosure of Mutual Fund Compensation Arrangements
|
|
7/30/03
|
NASD Charges Louisiana Broker With Unsuitable Sales of Variable Annuities and Mutual Funds of More Than $6 Million
|
|
7/22/03
|
Joint NASD/Industry Breakpoint Task Force Issues Report
|
|
6/25/03
|
NASD Brings Enforcement Action For Class B Mutual Fund Share Sales Abuses And Issues Investor Alert on Class B Shares
|
|
6/18/03
|
NASD Provides Members Guidance Regarding Instant Messaging
|
|
6/4/03
|
NASD Proposes Joint CEO/Chief Compliance Officer Certification
|
|
5/27/03
|
NASD Takes Disciplinary Actions for Variable Annuity Abuses and Issues Investor Alert on Variable Products
|
|
4/22/03
|
NASD Fines Altegris Investments for Hedge Fund Sales Violations
|
|
1/24/03
|
NASD Reminds Members of Obligations When Selling Hedge Funds
|
|
1/15/03
|
NASD Alerts Investors to Problems in Mutual Fund Breakpoints
|
|
11/26/02
|
NASD Board Approves Proposed Interpretive Material Regarding Investment Analysis Tools
|
|
10/28/02
|
NASD Fines and Suspends Research Analyst for Misusing Confidential Information Obtained in Clinical Drug Trial; Sterling Financial and Others Also Sanctioned for Misleading and Inaccurate Research Reports
|
|
10/17/02
|
NASD Charges National Capital Securities, Its President and Two Research Analysts with Issuing Fraudulent Research Reports
|
|
9/23/02
|
Salomon Smith Barney Fined $5 Million for Issuing Misleading Research Reports on Winstar; Charges Filed Against Jack Grubman and Christine Gochuico
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