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VIX

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'
June 05, 2018 Losses in LJM Partners' Funds Spotlight Suitability, Risk Management in Complex Mutual Funds
May 11, 2018 'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk
February 19, 2018 Volatility Funds Take a Dive - VelocityShares, ProShares VIX Round Out Worst Performing Volatility ETPs
February 08, 2018 Suitability and Firms' Duty to Disclose Comes into Focus as VelocityShares Daily Inverse VIX Exchange Traded Notes (XIV) Falls