ETFs

• Dec 2, 2024 JP Morgan to Pay $151 Million Over Major Disclosure Failures, Prohibited Transactions, Best Interest Violations, and Breaches of Fiduciary Duty

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• Nov 29, 2024 Structured Products' Risk Intensifies with Single Stock Volatility - The Case of the ARKK ETF

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• Apr 25, 2024 Stifel Nicolaus Failed to Detect Unsuitable Recommendations Despite Risk Policy, Says FINRA

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• Dec 1, 2023 Stifel Nicolaus Broker Chuck Roberts Accused of Securities Fraud Resulting in Multi-Million Dollar Damages

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• Nov 1, 2023 Credit Suisse Ends 9 ETNs, Including Delisted VelocityShares Products That Lost 90% of Value

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• Feb 21, 2022 Purshe Kaplan Sterling Charged Over Unsuitable Leveraged ETF Sales Causing $2.3 Million in Losses

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• Mar 26, 2021 While Stating "We Routinely Have Legal Issues," Calton & Associates Adds $500,000 to ETF Legal Budget, Seeking to Pay Customers Restitution for Complex ETF Sales

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• May 23, 2020 SunTrust Investment Services to Pay $634,000 Over Unsuitable ETF Sales

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• May 20, 2020 Brokerage Warning Issued for Oil-Linked ETPs, Including US Oil Fund

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