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Tag: structured product investigation
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...
Risks of Structured Products
A structured product, also known as a market linked investment, is generally a pre-packaged investment strategy based on derivatives,...
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...
