Our experts frequently write blog posts about the findings of the research we are conducting.
Ohio Division of Securities, In the Matter of Timothy K. Fife - Ohio IA Registration to be Revoked
FINRA Regulatory Priorities 2014
FINRA Action Against JP Turner for Unsuitable Leveraged ETF Sales
Direxion to Close Several Leveraged ETFs
Due to the Funds' inability to attract sufficient investment assets, Rafferty believes they cannot continue to conduct their business and operations in an economically efficient manner. As a result,...
Massachusetts Securities Regulators Fine RBC for Selling Unsuitable Leveraged and Inverse ETFs
Dishonest Sales of LEFTs by RBC Capital Markets