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February 10, 2023
Centaurus Financial Penalized $1 Million for Unsuitable Structured Product Sales
January 25, 2019
Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
May 28, 2019
Wedbush/Hilltop Securities Broker Mark Augusta Accused of Fraud, Financial Elder Abuse
December 10, 2018
FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations
June 27, 2018
Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts
June 26, 2018
Wells Fargo Advisors Pays $5 Million to Settle SEC's MLI Short-Term Trading Charges
October 06, 2022
As Credit Suisse Nears Financial Jeopardy, Potential Customer Losses Loom for its Structured Products
November 23, 2021
JP Morgan Advisors' Antoine Souma Suspended for Incorrect and Misleading Reports to Customer
April 12, 2021
Independent Financial Group Disciplined Over Concentrated Illiquid REIT Sales, Supervisory Failures
November 20, 2020
American Portfolios Financial Services Fined for Unsuitable VXX Recommendations That Caused Customer Losses
November 13, 2020
SEC Fines Royal Alliance Associates Over Volatility Linked ETP Failures, Including iPath S&P 500 VIX ETN 'VXX'
September 19, 2020
Voya Broker James Flynn Racks Up Suitability Complaints, Reportedly Flees to Caribbean
April 01, 2020
Caution Urged as UBS, HSBC Recommending Asian Structured Products to Top Clients
April 01, 2020
Corona Virus Plagues Risky Structured Products, Reverse Convertibles
March 31, 2020
Exchange-Traded Notes At Heightened Risk Due to COVID-19's Market Volatility
March 30, 2020
Corona Virus Claims UBS ETRACS ETN Structured Products as Risky Debt Notes Free-Fall
March 25, 2020
Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione
March 24, 2020
Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes
October 15, 2019
Newbridge Fined $225,000 for Complex Securities, ETF Supervision Failures
July 02, 2018
Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms
May 18, 2018
Banks and Brokers Recommending Risky Reverse Convertibles to Combat Volatility Despite Prior Discipline
May 16, 2018
Credit Suisse CEO Warned Unsophisticated Investors Not to Invest in XIV as Lawsuit Alleges Fraud
May 14, 2018
SEC Warned of Volatility-Linked Exchange-Traded Notes' Complexity Before XIV Crash
May 11, 2018
'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk
April 10, 2018
Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing
March 15, 2018
Saddled with Settlements, Kevin Yang Sanctioned for Unauthorized Discretion at Morgan Stanley
January 04, 2018
Goldman Sachs Structured Products, Reverse Convertibles, Suitability, and the Fiduciary Rule
December 27, 2017
NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
October 19, 2017
Beware Buffer Annuities - Misrepresentations and Omissions Highlight Complaints of New Risky Product
October 16, 2017
Wells Fargo Ordered to Pay Restitution of $3.4 Million for Unsuitable Volatility-Linked Exchange-Traded Products
May 25, 2017
Wells Fargo to Restrict Structured Products, Municipal Bonds in IRA Accounts
January 26, 2017
New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"
October 06, 2016
Cetera Financial Group's Investors Capital Corp to Pay $1.1 Million Over Unit Investment Trust, Steepener Note Sales
September 29, 2016
UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors
June 23, 2016
Merrill Lynch Fined $5 Million for Failure to Disclose Material Facts, Costs in Structured Note Sales
March 19, 2016
Risky, Unsuitable Investments in Poorly Performing Energy, Oil and Gas Ventures May Lead to FINRA Claims
March 15, 2016
UBS Preparing Sales of High-Yield CoCo Bonds, A Risky Debt That Can Bail Out Banks At Expense of Investors
January 27, 2016
Sales Practices Related to Credit Suisse, Velocity Shares, JPMorgan Notes, and Other Structured Products Remain Area of Concern
January 06, 2016
2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products
August 12, 2015
'Real Housewives of Beverly Hills' StockCross Financial Services Firm Fined for Naked Short Selling
August 06, 2015
Wells Fargo Advisors Censured, Fined $500,000, $242k in Restitution Ordered for Unsuitable STRATS Sales
May 06, 2015
SEC Investigating JPMorgan Over Potentially Improper Proprietary Fund Sales, Fiduciary Standard Violations
May 01, 2015
Larry M. Phillips Fined, Suspended, Restitution Ordered for Overcharging Customers
April 23, 2015
FINRA Fines RBC $1 Million, Orders $434,000 in Restitution for Reverse Convertible Failures
April 16, 2015
Commonwealth Capital Corp. CEO Kimberly Springsteen-Abbott Barred, Disgorgement Ordered for Misusing Investor Funds
June 06, 2014
Concentration Risk: The Implications of Putting All Your Eggs in One Basket
May 05, 2014
Popularity of Liquifying Home Equity, Cash-Out Refinancing Increases as Valuation Increases
March 15, 2014
Integral Financial, Weiming "Frank" Ho Fined for Repeated Non-Compliant Communications in Complex Product Promotions
January 23, 2014
SEC National Exam Program Issues Broker-Dealers Priorities List for 2014
January 15, 2014
Four Risky & Sometimes Dangerous Investments to Avoid in 2014
January 07, 2014
FINRA to Firms: Investment by Seniors Subject to Special Compliance Considerations
January 03, 2014
FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams
November 17, 2013
Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names
October 11, 2013
558% Increase in Reverse Convertible Sales at Bank of America Signifies Acceptance of Increased Volatility and Risk
August 12, 2013
A Survey of Reverse Convertible Risks as Bank of America Takes Structured Note Sales Title
