Tag: reverse convertible fraud
Risks of Structured Products
A structured product, also known as a market linked investment, is generally a pre-packaged investment strategy based on derivatives,...
Reverse Convertible Sales: UBS, Morgan Stanley, Ameriprise
According to the Investment News, Georgia recently requested information from UBS AG, Morgan Stanley and Ameriprise Financial Inc. in its...
FINRA focused on Private Placements and Non-Traded REITs
Broker-dealer sales of opaque and illiquid private investments are squarely in the sights of securities regulators at the Financial...
FINRA Fines Ameriprise for Reverse Convertible Notes
The Financial Industry Regulatory Authority (FINRA) has fined H&R Block Financial Advisors (now Ameriprise Advisor Services) $200,000...
