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 ...

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.

Structured notes are a complex form of debt that were previously reserved for institutions and ultra-wealthy individuals who had five figures to lay down. But technology has put these products within ...

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

Last month Stifel Nicolaus & Co. Inc. agreed to pay a $35 million penalty to settle charges with the Securities and Exchange Commission that the firm, like many of its competitors, had longstanding ...

The U.S. Structured Product Market has grown steadily over the past six years. Join to hear Marc Premselaar, senior managing director of capital markets at CAIS offer his perspective on how trends in ...