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Articles Tagged with Structured Notes

David Fenning (CRD#: 1005307), a registered representative with Morgan Stanley (CRD#: 149777) in New York, New York, is currently involved in a pending investor dispute, according to his BrokerCheck record accessed on June 25, 2020. What happened to lead to this investor complaint against David Fenning? Read on to learn more.  On May 5, 2020, […]

According to a report published in the Wall Street Journal on June 21, 2016, the Securities and Exchange Commission (SEC) is preparing to take civil action against Merrill Lynch in connection to an investment called Strategic Return Notes that reportedly declined “as much as 95% in value and was marketed in a way that one […]

The Securities and Exchange Commission (SEC) has announced that UBS AG will pay a $19.5 million settlement in relation to charges that it made false and misleading statements or omissions in offering materials for retail structured notes tied to the V10 Currency Index. Structured notes are an investment product that usually constitute a debt security […]

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