VIX

• Jan 15, 2022 Triad Advisors Disciplined for Failing to Supervise LJM Mutual Fund Recommendations, Which Lost 80% In Value Before Liquidating

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

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

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

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• Nov 17, 2020 SEC Issues Securities America Advisors Cease-and-Desist Order Over XIV, VIXY ETF Trades Resulting in Losses in Over 150 Client Accounts

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• Nov 13, 2020 SEC Fines Royal Alliance Associates Over Volatility Linked ETP Failures, Including iPath S&P 500 VIX ETN 'VXX'

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

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• Oct 24, 2018 John Simoncic Barred for Churning Retirement Accounts with VIX ETF

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• Jun 5, 2018 Losses in LJM Partners' Funds Spotlight Suitability, Risk Management in Complex Mutual Funds

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