FINRA will examine how firms supervised worst-of structured notes from 2022 through last year, focusing on best interest ...

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

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 ...

Amid concerns that retail investors may be harmed by high concentrations in risky structured products, the U.S. Financial ...

Forget investing, Wall Street is a marketing and sales machine. They've developed a real stinker of a product that at first glimpse appears like the answers to your prayers but really is just one more ...

Please provide your email address to receive an email when new articles are posted on . With stock market volatility likely to remain high until the COVID-19 crisis ends, many investors have become ...

Fish and Fowl Today's column is something different. Rather than advance an argument, as this space customarily does, it describes an investment type: structured notes. Normally, I leave investment ...

Occasionally I see financial products spring from the dead to devour investor dollars. One such product is called a "structured note." Structured notes are like bonds, only linked to derivatives.

Information from structured notes platform Luma Financial Technologies will now be available to Morningstar Advisor Workstation subscribers, according to a recent announcement. The two signed an ...

Consistent with its mission of investor protection, FINRA announced today that it will review firm practices regarding higher ...

Please provide your email address to receive an email when new articles are posted on . With stock market volatility likely to remain high until the COVID-19 crisis ends, many investors, including ...