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

The firm reached a confidential agreement with the Jannetti family in its case involving a $133 million FINRA arbitration ...

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 ...

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 ...

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" ...

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 ...