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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 31, 2019
Ranking the 20 Large-Cap Mutual Funds and ETFs with the Worst One-Year Returns
March 13, 2019
Sigma Financial Sanctioned for Deficient Non-Traditional ETF Supervisory System
January 23, 2019
FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities
January 03, 2019
2019 SEC Exam Priorities Zero In on High Fees, Conflicts of Interest, and Mutual Fund & ETF Risks
December 17, 2018
Emerging Markets, Resources Top Worst-Performing Mutual Funds and ETFs of 2018
October 24, 2018
John Simoncic Barred for Churning Retirement Accounts with VIX ETF
September 19, 2018
UNG Leads Worst Performing Passive Funds Since 2008's Financial Crisis
February 21, 2022
Purshe Kaplan Sterling Charged Over Unsuitable Leveraged ETF Sales Causing $2.3 Million in Losses
March 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
May 23, 2020
SunTrust Investment Services to Pay $634,000 Over Unsuitable ETF Sales
May 20, 2020
Brokerage Warning Issued for Oil-Linked ETPs, Including US Oil Fund
May 15, 2020
Ameriprise Broker Arthur Hoffman Barred Following Fraud Complaint, Investigation
March 25, 2020
Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione
October 17, 2019
Financial West Group (LA) Broker Daniel Maughan Barred for ETF Churning & Excessive Trading
October 15, 2019
Newbridge Fined $225,000 for Complex Securities, ETF Supervision Failures
March 14, 2018
Omer Ozeren Sanctioned for Unauthorized Use of Discretion and Faulty ETF Recommendations
January 19, 2018
Richard Foster Sanctioned for Unsuitable IRA Liquidation Recommendation, Risky ETF Trading Strategy
October 16, 2017
Wells Fargo Ordered to Pay Restitution of $3.4 Million for Unsuitable Volatility-Linked Exchange-Traded Products
October 11, 2017
Ex-Ameriprise Brokers Jack McBride and Stuart Pearl Cited by FINRA for Improper Margin Trades
August 21, 2017
Jay Dee Jordan Barred for Unsuitable ETF Trading Resulting in $8 Million Loss, Settling Away
August 15, 2017
FSC Securities Corporation Fined for Non-Traditional ETF Failures, Unsuitable Recommendations
August 10, 2017
Buyer Beware - Worst Performing Mutual Funds & ETFs From 2012-2017
May 01, 2017
Ex-Raymond James Broker Scott Sibley Barred for 900 Unauthorized Transactions, Unsuitable Recommendations to 10+ Seniors
April 28, 2017
Demitrios Hallas Charged in Unsuitable ETF Investment, Fraudulent $170k Misappropriation Scheme
March 10, 2017
First Financial Equity CCO Melissa Strouse Punished for Suitability, ETF, Heightened Supervision Failures
February 14, 2017
Morgan Stanley to Pay $8 Million Penalty in Unsuitable Single Inverse ETF Sales, Customer Losses
November 02, 2016
Eight Firms Fined $6.2 Million for Variable Annuity L-Share Supervisory Failures
November 01, 2016
Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
July 16, 2016
Complaint Against First Financial Equity Corp Alleges Supervisory Failures, Excessive Commissions
June 08, 2016
Oppenheimer & Co Sanctioned $2.9 Million for Unsuitable Complex ETF Trades Amongst Elderly Customers
April 13, 2016
Leonard Goldberg Barred for Fraudulent Use of Mutual Fund and ETF Discretion, Causing Over $123,600 in Customer Losses
March 23, 2016
Wedbush Securities Fined $675,000 for Supervisory Violations in 'Chronic' ETF Delivery Failures, Short Sales
January 06, 2016
2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products
July 27, 2015
Volatile Complex Exchange Traded Products (ETFs, ETNs, etc.) May Be Unsuitable for Conservative Investors
July 15, 2015
FINRA Fines Ascendiant Capital Markets of Irvine, CA for Failure to Supervise, Inadequate Handling of Customer Complaint
July 13, 2015
Jeffrey David Daggett Fined & Suspended for Unsuitable ETN, Non-Traditional ETF Recommendations
July 08, 2015
F-Squared Files for Bankruptcy in Wake of $35 Million Settlement Over False Performance Claims
June 18, 2015
Wells Fargo Accused of Deficient Due Diligence on ETF-Based F-Squared Investment Losses
May 06, 2015
FINRA Sanctions LPL Financial $11.7 Million for Major Supervisory Failures in ETF, REIT and VA Products
February 17, 2015
Foothill Securities, CCO Stephen Shipp Fined $235k for Inadequate Policies, Systems and Procedures
January 05, 2015
High Yield Bonds, Stocks, and ETFs in Grave Jeopardy as Oil Bubble Poised to Burst
December 04, 2014
JP Morgan to Pay $485,000 in Damages for Overly Concentrated Investments
June 06, 2014
Concentration Risk: The Implications of Putting All Your Eggs in One Basket
April 23, 2014
Infinex Fined for Unsuitable Recommendations of Non-Traditional Inverse, Leveraged ETFs
February 25, 2014
Berthel Fisher & Co. Financial Services, Affiliate Fined $775,000 for Compliance Failures, Inappropriate Alternative Investment Sales
January 23, 2014
SEC National Exam Program Issues Broker-Dealers Priorities List for 2014
January 16, 2014
Edward D. Jones Fined $200K + $52,000 in Restitution for Improper ETF Sales
January 09, 2014
FINRA Orders Stifel, Nicolaus & Company, Century Securities to Pay Over $1 Million in Fines, Restitution Over Unsuitable Non-Traditional ETF Sales, Supervisory Deficiencies
January 07, 2014
FINRA to Firms: Investment by Seniors Subject to Special Compliance Considerations
January 03, 2014
FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams
December 18, 2013
Solicited Leveraged ETF Tickets Marked as Unsolicited is Risky Business
December 09, 2013
JP Turner Ordered to Pay Over $700,000 in Restitution for Unsuitable Complex ETF Sales, Excessive Switching
December 02, 2013
Morgan Keegan, Stephens Inc. Fined, Restitution Ordered for Inappropriate Volatile Nontraditional ETF Sales
November 17, 2013
Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names
October 15, 2013
SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
August 08, 2013
Christopher Michael Bones, David Shelton Brown, Jr. Fined & Suspended in Separate Instances of Unauthorized Discretionary Trading
July 31, 2013
New Jersey Fines Morgan Stanley $100,000 for Improper ETF Sales to Investors
April 14, 2013
Once Granted, Permission to Trade with Discretion Can Be Problematic
April 08, 2013
Karl Edward Hahn Ordered to Pay $11 Million to Customer for Investment Fraud & Misrepresentation
March 24, 2013
LPL Financial Firm Under Fire and On Radar with Several Securities Regulators
February 24, 2013
Mark E. Marek Barred When Unsuitable Investment Recommendation After Client Loses Nearly $600,000
June 20, 2012
Michael Douglas Venable Barred for Multiple Violations Related to Sales of ETFs
