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 ...

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 ...

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, April 11, 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.

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" ...

There are two main ways a structured note seller can engineer a product in order to protect principal. The first is the traditional structured note format of taking the investor’s money, using some of ...