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.
15 Aug 2024
JPM sued by Dropbox co-founder over US$1bn structured note sales
The former Dropbox executive is seeking to recover US$225m in damages from J.P. Morgan due to “exorbitant” undisclosed fees on 35 structured notes.
27 Feb 2024
Barclays’ structured notes over-issuance reverberates
The UK bank must face a lawsuit brought by US shareholders over the US$17.7 billion structured note blunder.
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.
16 Aug 2023
Litigation: financial advisor's ETN craze cost clients US$11m
A financial advisor who was the principal of an RIA for 21 years racked up more than $11 million in client losses by selling investment products he didn't understand, according to US state regulators.
24 Apr 2023
SRP in brief: all rise
It’s been a week of lawsuits, new licences and leveraging innovation in the structured product world.
20 Apr 2023
Litigation: US class action alleges Barclays misled investors into unregistered ETNs
Customers of the UK bank have filed a class action lawsuit against Barclays Plc in a New York federal court alleging violations of the Securities Act.
19 Apr 2023
Litigation: NY court dismisses leverage ETN case against Credit Suisse
Claims that the Swiss bank caused retail investors significant losses when it chose to de-list its ETN have been rejected.
01 Mar 2023
Structured Alpha is ‘behind us’ says CEO, ex-manager seeks dismissal of charges
The German insurer has reported Q4 profit as the Structured Alpha case lingers in the background.
27 Feb 2023
Libya fund ‘fraudsters’ mis-using structured products get 11 years jail sentence
The ex-bankers used ‘secret commission’ payments on structured products to steal from the Libya sovereign wealth fund.
26 Sep 2022
Shareholders seek damages for Barclays structured note over-issuance
Miami Beach police and firefighter retirement groups have filed a class action in the US over a US$17.6 billion structured notes sale.
18 May 2021
SEC charges S&P DJI over VIX failures
The US watchdog has fined the index provider for failing to disclose ‘critical features’ of the volatility index.