The New York-based lawyer has more than 40 pending cases against UBS for Lehman “100% Principal-Protection Notes,” totaling more $25 million, he said. “The vast majority of Lehman notes were sold ...

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 ...

FINRA is conducting a targeted review of member firm practices related to the supervision of non-principal protected “worst-of” structured notes over a look-back period of 2022 through the end of 2025 ...

On May 19, 2026, FINRA announced a targeted review of member firms’ practices relating to the supervision of non-principal-protected “worst-of” structured notes, which it has identified as higher-risk ...

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 ...

The Series Cap represents the maximum aggregate principal amount of such series of Notes that will be purchased. The Company reserves the right, but is under no obligation, to increase, decrease or ...