Our experts frequently write blog posts about the findings of the research we are conducting.
SEC Press Release: Structured Products
"issued a report identifying common weaknesses seen in sales of structured securities products and describing measures by broker-dealers to better protect retail investors from fraud and abusive sales practices."
FINRA Investor Alert: Asking the Right Questions
In the News: UBS & Morgan Stanley Subpoenaed over Reverse Convertibles
SEC Press Release: Morgan Keegan fined in connection with CDOs
"Morgan Keegan & Company and Morgan Asset Management have agreed to pay $200 million to settle fraud charges related to subprime mortgage-backed securities. Two Morgan Keegan employees also agreed to pay penalties for their alleged misconduct, including one who is now barred from the...
Joint SEC and FINRA Press Release: Structured Products
SEC Press Release: Assigned Credit Ratings
for public comment on the feasibility of a system in which a public or private utility or a self-regulatory organization would assign a nationally recognized statistical rating organization (NRSRO) to determine credit ratings for structured finance products.
FINRA Press Release: Principal Protected Notes
"it has fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that effectively misled some investors...
SLCG Research: Modeling Autocallable Structured Products