Our experts frequently write blog posts about the findings of the research we are conducting.
This is why UBS paid the SEC $15 Million over Reverse Convertible Structured Products
This is Why Merrill Lynch Paid the SEC and FINRA $15 million over Bank of America's VOL Index-linked Structured Products.
Smaller Brokerage Firms Are Even Worse!
Enforcement Actions: Week in Review - January 16th, 2015
Structured Product Based Variable Annuites are Riskier Than Advertised
SLCG's Own Dr. Tim Dulaney to Join the SEC
FINRA Regulatory Priorities 2014
Self-Indexing in Commodity-Linked Investments - Citi CUBES
SEC Scrutinizing Exchange Traded Notes
FINRA Action Against JP Turner for Unsuitable Leveraged ETF Sales