FINRA is conducting a targeted review of member firm practices related to the supervision of non-principal protected ...

FINRA has announced a new targeted examination of member firm practices relating to the supervision of customer concentration in ...

The New York-based lawyer has more than 40 pending cases against UBS for Lehman “100% Principal-Protection Notes,” totaling more $25 million, he said. “The vast majority of Lehman notes were sold ...

There are two main ways a structured note seller can engineer a product in order to protect principal. The first is the traditional structured note format of taking the investor’s money, using some of ...

Structured Notes and Buffer funds are sleep-well-at-night products designed to protect investors from market drops. Brokers and nervous investors love them, despite their complexity and fees. Talk to ...