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Advertising Regulation News Releases

April 4, 2005

NASD Endorses Concise, Web-Based Point of Sale Mutual Fund Disclosure
April 4, 2005

NASD Endorses Concise, Web-Based Point of Sale Mutual Fund Disclosure
March 30, 2005

Thomas Weisel Partners to Pay $1.75 Million to Settle NASD Charges of IPO, E-Mail Retention Violations
March 23, 2005

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
March 16, 2005

Jefferson Pilot to Pay Over $500,000 in First VUL Market Timing Action; NASD Also Fines Affiliate $125,000 for E-Mail Retention Violations
March 7, 2005

NASD Charges Knight Securities' Kenneth Pasternak, John Leighton With Supervisory Violations in Fraudulent Sales to Institutional Customers
March 7, 2005

NASD Charges Knight Securities' Kenneth Pasternak, John Leighton With Supervisory Violations in Fraudulent Sales to Institutional Customers
February 24, 2005

NASD Charges California Broker With Fraud in Municipal Securities Transactions
February 24, 2005

NASD Charges California Broker With Fraud in Municipal Securities Transactions
January 14, 2005

NASD Fines Analyst $75,000 for Circulating Rumor
January 14, 2005

NASD Fines Analyst $75,000 for Circulating Rumor
January 12, 2005

Banc One Securities Corporation Fined $400,000 for Supervisory Failures Relating to Late Trading
January 12, 2005

Banc One Securities Corporation Fined $400,000 for Supervisory Failures Relating to Late Trading
December 15, 2004

NASD Issues Warning on Systematic Investment Plans
December 15, 2004

NASD Orders First Command to Pay $12 Million for Misleading Statements in Sales of Systematic Investment Plans to Military Personnel
December 6, 2004

NASD Fines Morgan Stanley $100,000 For Municipal Bond Disclosure Violations
December 6, 2004

NASD Fines Morgan Stanley $100,000 For Municipal Bond Disclosure Violations
November 29, 2004

NASD Bars Former AmSouth Broker for Fraud in the Sale of Variable Annuities
October 25, 2004

NASD Fines Citigroup Global Markets, Inc. $250,000 In Largest Hedge Fund Sales Sanction To Date
October 6, 2004

NASD Charges David Lerner Associates With Using Misleading Radio Spots, Investment Seminars, Other Ads
October 6, 2004

NASD Charges David Lerner Associates With Using Misleading Radio Spots, Investment Seminars, Other Ads
June 9, 2004

SEC And NASD Release Joint Staff Report On Broker-Dealer Sales Of Variable Insurance Products
June 7, 2004

NASD Expels Continental Broker-Dealer Corp. for Sales Practice, Supervision Violations
June 1, 2004

NASD Fines Davenport & Co. In First Case Of Deceptive Market Timing In Variable Annuities
May 25, 2004

NASD Fines and Suspends Phua Young, Former Merrill Lynch Research Analyst

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