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ETPs

April 25, 2024 Stifel Nicolaus Failed to Detect Unsuitable Recommendations Despite Risk Policy, Says FINRA
December 01, 2023 Stifel Nicolaus Broker Chuck Roberts Accused of Securities Fraud Resulting in Multi-Million Dollar Damages
November 01, 2023 Credit Suisse Ends 9 ETNs, Including Delisted VelocityShares Products That Lost 90% of Value
May 27, 2021 Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures
April 25, 2020 Lost Money in Risky Oil & Gas Investments During COVID-19? We're Investigating Claims
February 29, 2020 Citing 'Widespread Failures,' SEC Fines Wells Fargo $35 Million for Unsuitable Inverse ETF Recommendations, Inadequate Supervision Leading to Millions of Dollars in Customer Losses
May 28, 2019 Wedbush/Hilltop Securities Broker Mark Augusta Accused of Fraud, Financial Elder Abuse
March 13, 2019 Sigma Financial Sanctioned for Deficient Non-Traditional ETF Supervisory System