ETPs

Posts In ETPs

UBS Ordered to Pay $8 Million for Unsuitable Complex ETP Sales of VXX Jul 21
After receiving an $8 million penalty from the SEC, UBS Financial Services became the latest firm to ...
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Corey White Barred Over Supervisory & Red Flag ETP Failures at Financial West Group Because "There Were Too Many to Review" Jun 16
FINRA fined and barred Corey Andrew White for failing to adequately supervise trading activities at ...
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Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures May 27
FINRA censured and fined Calton & Associates $250,000, ordering an additional $472,000 in ...
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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 Mar 26
Calton & Associates president Dwayne Calton said in a March 2021 interview that the firm anticipates ...
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American Portfolios Financial Services Fined for Unsuitable VXX Recommendations That Caused Customer Losses Nov 20
The Securities and Exchange Commission ordered American Portfolios Financial Services and American ...
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SEC Issues Securities America Advisors Cease-and-Desist Order Over XIV, VIXY ETF Trades Resulting in Losses in Over 150 Client Accounts Nov 17
After an SEC investigation found that unsuitable sales of volatility-linked exchange-traded products ...
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