2008 Advertising-Related News Releases

12/8/08   FINRA Launches Comprehensive Mutual Fund Expense Analyzer
10/23/08   FINRA Announces Agreements in Principle with Three Additional Firms to Settle Auction Rate Securities Violations
10/21/08   FINRA Investment Tools Help Investors Opening New Accounts Get Started Off Right
10/1/08   FINRA Alerts Investors of U.S. Treasury Program to Guarantee Money Market Funds that "Break the Buck"
9/15/08   FINRA Advises Investors on How to Safeguard Their Brokerage Accounts
9/9/08   Questions About Online Brokerage? Reverse Mortgages? 401(k) Investing? FINRA Launches New Podcast Series to Give Investors an Earful of Advice
9/4/08   FINRA Sanctions Three Brokers for Sales of CMOs to Retail Investors
7/1/08   FINRA, International Foundation Partner on Resources for Companies, Employees to Guard Against Early Retirement Seminar Scams
6/26/08   FINRA Warns Investors About Compromising Important Assets in Uncertain Economic Times
4/24/08   FINRA Alert Cautions Investors on Speculating with Catastrophe Bonds and Other Event-Linked Securities
4/22/08   FINRA Introduces Resources for Companies, Employees to Guard Against Early Retirement Seminar Scams
3/31/08   FINRA Issues Guidance to Investors Caught in ARS Auction Failures
3/13/08   FINRA Warns Senior Investors About Reversing Fortunes With Reverse Mortgages
2/28/08   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
2/14/08   FINRA Charges Broker for Misappropriating Almost $400,000 from 97-Year-Old Widow and Her Charitable Foundation
2/8/08   SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors
1/29/08   FINRA Fines Banc One for Unsuitable Variable Annuity Sales, Inadequate Supervision of Fixed-to-Variable Annuity Exchanges
1/9/08   SMH Capital Fined $450,000 for Procedural Failures Regarding Soft Dollar Payments, Distributing Improper Hedge Fund Sales Materials