Exchange Traded Notes

Posts In Exchange Traded Notes

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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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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SEC Fines Royal Alliance Associates Over Volatility Linked ETP Failures, Including iPath S&P 500 VIX ETN 'VXX' Nov 13
Citing widespread losses by advisory clients who held the iPath S&P 500 VIX Short-Term Futures ETN ...
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Brokerage Warning Issued for Oil-Linked ETPs, Including US Oil Fund May 20
FINRA issued a regulatory notice for oil-linked exchange-traded products (ETPs), such as ...
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