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 ...
The firm reached a confidential agreement with the Jannetti family in its case involving a $133 million FINRA arbitration ...
FINRA will examine how firms supervised worst-of structured notes from 2022 through last year, focusing on best interest ...
Structured products, also called structured notes, are customized versions of existing investments. A recent example is this offering from Morgan Stanley MS. Sold in June 2022, the company’s ...
Alternative investments do not correlate with the stock market and can produce gains when the overall market is down. Structured notes are one of the available alternative investments. These ...
Fidelity was ordered to pay $843,000 in compensatory damages to James and Tina Baldocchi and $445,000 to Kimberly Hosler and James Doorley, according to the FINRA panel’s award. The investors in both ...
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