02 Dec 2024
SRP in brief: index in focus
It was a busy week for the US index-linked annuity market, and elsewhere.
28 Nov 2024
Stifel slapped with US$2.3m penalty over structured notes sales
Finra’s penalty is directed to one of the firm’s advisor embroiled in a total of 20 customer disputes.
27 Nov 2024
SRP Americas Awards 2024: Stifel nears US$3bn in structured product sales
The broker-dealer with record US$496 billion client assets has won the Best Educational Initiative accolade at the SRP Americas Awards 2024.
16 Oct 2024
US regulator fines broker-dealer for mis-selling structured notes
Stifel ordered to pay US$14.2m in Finra arbitration over failure to supervise recommendations of structured note investments.
18 Sep 2024
SRP Americas 2024: tactical balancing of portfolio exposure
Panellists at the SRP Americas 2024 Conference in New Orleans discussed portfolio allocation and capital protection with the long-term goal of preserving wealth.
06 Oct 2023
People: SSPA elects new president, Stifel bolsters EQD team
The Swiss Structured Products Association (SSPA) has appointed a seasoned executive from Vontobel as its new president; founder and MD at the German DDV joins the buy-side; UK structured products specialist firm adds to sales team; and more.
24 Aug 2023
Latest: Stifel advisor faces investor claims over structured notes
A veteran financial advisor with Stifel Nicolaus & Co. Inc. is facing several investor complains relating to the sale of structured notes.
05 Feb 2021
People: Barclays global head of structuring exits
Follow the latest industry moves as Barclays sees a senior structurer depart, Credit Suisse bolsters its QIS team, Optiver hires former Goldman Sachs trader, and more.
12 Apr 2019
Product wrap: BBVA targets Irish investors with fund-linked note
This weeks wrap covers a selection of structured products with strike dates between April 7-13 2019.