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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
January 23, 2019
FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities
October 24, 2018
John Simoncic Barred for Churning Retirement Accounts with VIX ETF
