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

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

More investment advisors are finding a place in their clients’ portfolios for structured notes, according to leading alts provider CAIS. In a statement Thursday, CAIS said it’s registered a spike in ...

Citi has issued its inaugural digitally native structured note on Euroclear's Digital Financial Market Infrastructure (D-FMI) Distributed Ledger Technology (DLT) Platform This type of transaction is a ...

Haselkorn & Thibaut wins $1.28M FINRA award against Fidelity over structured note losses, intensifying its investigation into Vora Wealth Management strategies. PALM ...

Structured investments, also known as structured notes, are a combination of a bond, which can provide downside protection, and a derivative, which provides leveraged upside benefits, allowing ...

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 ...

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 ...

An Arizona advisor who placed nearly all client assets in equity-linked notes has been barred from the industry for at least three years and will pay $1.6 million in disgorgement and penalties, the ...