Leverage

• Apr 20, 2020 Wedbush Broker James Richards Cited for Supervision Failure Over Multi-Million Dollar Margin Deficits

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• Apr 16, 2020 CFP Board Suspends California's Michael Altobell & Richard LaBare

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• Mar 31, 2020 Exchange-Traded Notes At Heightened Risk Due to COVID-19's Market Volatility

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• Mar 30, 2020 Corona Virus Claims UBS ETRACS ETN Structured Products as Risky Debt Notes Free-Fall

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• Mar 25, 2020 Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione

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• Mar 27, 2019 Investors Seeking to Recover Losses from Unsuitable UBS' Yield Enhancement Strategy (YES)

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• Jan 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California

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• Aug 15, 2017 FSC Securities Corporation Fined for Non-Traditional ETF Failures, Unsuitable Recommendations

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• Feb 14, 2017 Morgan Stanley to Pay $8 Million Penalty in Unsuitable Single Inverse ETF Sales, Customer Losses

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