ETPs

• 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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• Oct 21, 2022 Previously Sanctioned for Excessive & Unsuitable ETP Trading, Efrain Trujillo Barred for Borrowing Money From Customers

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• Jul 20, 2021 UBS Ordered to Pay $8 Million for Unsuitable Complex ETP Sales of VXX

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• Jun 16, 2021 Corey White Barred Over Supervisory & Red Flag ETP Failures at Financial West Group Because "There Were Too Many to Review"

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• May 27, 2021 Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures

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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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• Nov 20, 2020 American Portfolios Financial Services Fined for Unsuitable VXX Recommendations That Caused Customer Losses

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