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Tag: structured product investigation

Blog, Securities Fraud Articles

June 15, 2012

FINRA fines Merrill Lynch over structured product sales

According to reports, Merrill Lynch has agreed to pay a $450,000 fine and accept a censure in a case involving supervision of...

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Blog, Current Investigations, Securities Fraud Articles

February 17, 2012

Risks of Structured Products

A structured product, also known as a market linked investment, is generally a pre-packaged investment strategy based on derivatives,...

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Blog, Securities Fraud Articles

July 28, 2011

SEC Warning: Structured Products, Reverse Convertible Notes

Broker-dealers have been engaging in sales practices for structured securities products that hurt retail investors, according to a...

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