FINRA has issued a regulatory notice this month that stresses the need for brokerage firms to tell the risk to investors in so-called Principal-Protected Notes. The notice, which may be viewed here, cautions firms from overstating the level of protection inherent in this structured product.
Posts Tagged ‘Capital Preservation’
FINRA Issues Regulatory Notice Aimed at Principal Protected Notes
January 7th, 2010 
Before You Invest 
Posted in Finance Fraud 
Tags: Arbitration Claims, Bankruptcy Case, Brokerage Firms, Capital Preservation, Case In Point, Credit Worthiness, Financial Industry Regulatory Authority, Guarantor, Investor, Investors, Lehman Brothers, Ppns, Principal Protected Notes, Principal Protection, Protection Feature, Regulatory Notice, Risk, Structured Product, Surprise, Ubs 
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