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2009



September

Merrill To Pay $26.5 Million Fine Over Unregistered Salespeople


August

Merrill To Pay $26.5 Million Fine Over Unregistered Salespeople

FINRA Fines NEXT Financial Group For Supervisory Failures That Led To Churning and Excessive Commissions In Customer Accounts

FINRA Fines Ameritas Investment Corp. For Inducing Customers To Take On Additional Mortgage Or Home Equity Debt to Buy Securities

FINRA Fines Firms For Supervisory Deficiencies Relating To Variable Annuity, Mutual Funds and Unit Investment Trusts


July

SIFMA Will Support Proposal to Hold Brokers To A Fiduciary Duty
FINRA Fines Wachovia Securities $1.4 Million for Prospectus Delivery Failures and Related Supervisory Violations


April

Oppenheimer Funds Probed by 5 States for Losses in 529 Plans








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