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Volatility

November 29, 2024 Structured Products' Risk Intensifies with Single Stock Volatility - The Case of the ARKK ETF
May 27, 2021 Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures
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
January 15, 2022 Triad Advisors Disciplined for Failing to Supervise LJM Mutual Fund Recommendations, Which Lost 80% In Value Before Liquidating
July 20, 2021 UBS Ordered to Pay $8 Million for Unsuitable Complex ETP Sales of VXX
November 20, 2020 American Portfolios Financial Services Fined for Unsuitable VXX Recommendations That Caused Customer Losses
March 24, 2020 Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes
March 27, 2019 Investors Seeking to Recover Losses from Unsuitable UBS' Yield Enhancement Strategy (YES)