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May 27, 2021
Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures
March 27, 2019
Investors Seeking to Recover Losses from Unsuitable UBS' Yield Enhancement Strategy (YES)
October 24, 2018
John Simoncic Barred for Churning Retirement Accounts with VIX ETF
January 15, 2022
Triad Advisors Disciplined for Failing to Supervise LJM Mutual Fund Recommendations, Which Lost 80% In Value Before Liquidating
July 21, 2021
UBS Ordered to Pay $8 Million for Unsuitable Complex ETP Sales of VXX
November 20, 2020
American Portfolios Financial Services Fined for Unsuitable VXX Recommendations That Caused Customer Losses
November 17, 2020
SEC Issues Securities America Advisors Cease-and-Desist Order Over XIV, VIXY ETF Trades Resulting in Losses in Over 150 Client Accounts
November 13, 2020
SEC Fines Royal Alliance Associates Over Volatility Linked ETP Failures, Including iPath S&P 500 VIX ETN 'VXX'
