By: Leveraged exchange traded funds (“ETFs”) were first introduced in 2006, and 3x Leveraged ETFs – designed to achieve 3x the performance of the underlying index or benchmark that a particular ETF tracks – were first introduced in...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: June 2017
Recent Posts
- Former First Republic broker files appeal in dispute over recruiting loan balance
- SEC announces departure of director of its enforcement division, Gurbir Grewal
- SEC fines Thrivent over Reg BI violation involving mutual fund recommendations
- TD Securities charged with ‘spoofing’ scheme to manipulate U.S. Treasury market
- American Dream Accounts Act would establish $5,000 investment account for each child
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