Volatility

Posts In Volatility

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' ...
View Article
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 ...
View Article
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 ...
View Article
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 ...
View Article
Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes Mar 24
While many investors suffer losses as financial markets fall and investment portfolios decrease ...
View Article
Citing 'Widespread Failures,' SEC Fines Wells Fargo $35 Million for Unsuitable Inverse ETF Recommendations, Inadequate Supervision Leading to Millions of Dollars in Customer Losses Feb 29
Wells Fargo Advisors and Wells Fargo Clearing Services will pay $35 million in fines for failing to ...
View Article