The firm reached a confidential agreement with the Jannetti family in its case involving a $133 million FINRA arbitration award.
The regulator will examine how firms supervised "worst-of" structured notes, with a focus on their compliance with best-interest standards.
The Financial Industry Regulatory Authority said on Tuesday that it will review how firms supervise their concentrations in higher-risk structured products, specifically non-principal protected ...
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Good morning, everyone, and welcome to the Elixinol Business Update Investor Webinar. On our call today, we have Gavin Evans, the Chair; Natalie Butler, Executive Director and CEO; and Adam ...