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

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 ...

A portfolio’s outcome is driven by a variety of factors on factors like commissions, time horizon, and asset classes, with strategy being a key determinant shaped by each manager’s risk tolerance.

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

Question: We have over $500,000 invested with a certified financial planner (CFP) we like — most of it in very safe bonds to generate a little income. We are also into structured notes that generate ...

NEW YORK--(BUSINESS WIRE)--CAIS, the leading alternative investment platform for independent financial advisors, registered a surge in demand for structured notes, also known as structured investments ...

Cerulli Associates' recent report predicts substantial growth for structured notes, debt securities linked to underlying assets, in the upcoming year, prompting advisors to take heed of this emerging ...

CHICAGO--(BUSINESS WIRE)--GeoWealth, a proprietary technology and turnkey asset management platform (TAMP), today announced a new partnership with Halo Investing, an award-winning platform for ...

NEW YORK, March 29 (Reuters) - Principal-protected notes, complex securities that are marketed as carrying a money-back guarantee, are starting to spring back to life after having lost much of their ...