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

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

FINRA has announced a new targeted examination of member firm practices relating to the supervision of customer concentration in ...

Peter Gratton, Ph.D., is a New Orleans-based editor and professor with over 20 years of experience in investing, economics, and public policy. Peter began covering markets at Multex (Reuters) and has ...

Haselkorn & Thibaut wins $1.28M FINRA award against Fidelity over structured note losses, intensifying its investigation into Vora Wealth Management strategies. PALM ...

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 ...

“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 ...

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 ...

“People are struggling with the categorizations of complex and non-complex instruments,” says Anders Malm, a partner with Stockholm-based law firm Oreum, which provides legal advice and services to ...

Autocallable notes provide a veery attractive yield, but they also have significant downside risk. Investors are always looking for innovative ways to generate income from their portfolios. With stock ...

WASHINGTON, May 19, 2026--(BUSINESS WIRE)--Consistent with its mission of investor protection, FINRA announced today that it will review firm practices regarding higher-risk structured products, ...