VIX

Posts In VIX

Triad Advisors Disciplined for Failing to Supervise LJM Mutual Fund Recommendations, Which Lost 80% In Value Before Liquidating Jan 15
FINRA fined and censured Triad Advisors for failing to supervise its representatives' ...
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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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Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures May 27
FINRA censured and fined Calton & Associates $250,000, ordering an additional $472,000 in ...
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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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