The brokerage industry’s self-regulator is launching a so-called sweep exam looking at how firms are handling their compliance obligations on certain high-risk assets.

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 ...

Peter Gratton, Ph.D., is a New Orleans-based editor and professor with over 20 years of experience in investing, economics, and public policy. Peter began covering markets at Multex (Reuters) and has ...

SPi data shows the structured note market reached $194 billion in 2024, a milestone that underscores how quickly these products are moving into broader advisor use. But as adoption accelerates, the ...

“More people are paying attention to credit risk than before, so it is true that the subset of investors that are being particularly prudent has increased,” says Alberto Cherubini, head of exotic ...

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” ...

Contact the Law Firm of KlaymanToskes for a Free and Confidential Consultation to Discuss Pursuing a Potential Recovery of Your Structured Note Losses NEW YORK, NY ...

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

NEW YORK, NY, UNITED STATES, February 23, 2026 /EINPresswire.com/ — National investment loss and securities law firm KlaymanToskes announces that investors ...