The brokerage industry’s self-regulator is launching a so-called sweep exam looking at how firms are handling their ...

Consistent with its mission of investor protection, FINRA announced today that it will review firm practices regarding higher-risk structured products, specifically non-principal protected "worst-of" ...

The regulator will examine how firms supervised "worst-of" structured notes, with a focus on their compliance with best-interest standards.

The Financial Industry Regulatory Authority said on Tuesday that it will review how firms supervise their concentrations in higher-risk structured products, specifically non-principal protected ...

SPi data shows the structured note market reached $194 billion in 2024, a milestone that underscores how quickly these products are moving into broader advisor use. But as adoption accelerates, the ...

The firm reached a confidential agreement with the Jannetti family in its case involving a $133 million FINRA arbitration award.

“More people are paying attention to credit risk than before, so it is true that the subset of investors that are being particularly prudent has increased,” says Alberto Cherubini, head of exotic ...

Structured products debate: presents a range of new challenges for providers and distributors of structured notes. Representatives of leading structured products houses discuss those challenges, and ...

Structured Notes and Buffer funds are sleep-well-at-night products designed to protect investors from market drops. Brokers and nervous investors love them, despite their complexity and fees. Talk to ...

Contact the Law Firm of KlaymanToskes for a Free and Confidential Consultation to Discuss Pursuing a Potential Recovery of Your Structured Note Losses NEW YORK, NY ...