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

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 ...

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 ...

“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 ...

“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 ...

Stifel Financial has reached a confidential agreement to settle with investors who won a Financial Industry Regulatory Authority arbitration award in early 2025 related to former Stifel broker Chuck ...

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

You can find original article here WealthManagement. Subscribe to our free daily WealthManagement newsletters. The Financial Industry Regulatory Authority is launching a review of how firms handle ...