Volatility

• Nov 29, 2024 Structured Products' Risk Intensifies with Single Stock Volatility - The Case of the ARKK ETF

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• 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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• Mar 24, 2020 Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes

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• Feb 29, 2020 Citing 'Widespread Failures,' SEC Fines Wells Fargo $35 Million for Unsuitable Inverse ETF Recommendations, Inadequate Supervision Leading to Millions of Dollars in Customer Losses

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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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