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 ...

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 ...

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 ...