Month: November 2017

Wells Fargo Fined by FINRA for VIX Linked Exchange Traded Products

The Financial Industry Regulatory Authority (FINRA) has fined Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC $3.4 Million as required restitution relative to unsuitable recommendations involving volatility-linked Exchange Traded Products (ETP’s) and related supervisory failures related to these investments.   Volatility-linked ETP’s are very complex products, ill-designed for the average investor and […]

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SEC Issues Microcap Fraud Alert for Low-Priced Stocks

In a recent Release, the SEC warned investors about fraudulent schemes involving Over-The-Counter (OTC) stocks.  This warning also included stocks listed on the OTC Bulletin Board (OTSBB) and the OTC Markets Group, Inc. (f/k/a Pink Sheets).  Notably, companies quoted on the OTCBB/Pink Sheets and the OTC Markets are not subject to the more stringent listing […]

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