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

UBS Financial Services has been fined $2.5 million for misleading investors in its sales of Lehman Brothers structured products in 2008, according to the Financial Industry Regulatory Authority (Finra ...

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 ...

HONG KONG, Aug. 04, 2023 (GLOBE NEWSWIRE) -- Hywin Holdings Ltd. ("Hywin Wealth" or "Hywin") (NASDAQ: HYW), a leading independent wealth management service provider in China, Leonteq Securities AG ...

Principal-protected retail equity-linked notes are back in vogue in Asia as global uncertainty triggers greater investor caution. "As the interest-rate and political situation [in the Middle East] ...

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 ...

A UBS broker sold $2 million of “principal-protected” Lehman notes to Croce and his wife, Diane, on June 25, 2008, less than three months before the bank failed, said Jacob Zamansky, their attorney.