We look at 2025 Finra arbitration cases where structured products played a central role, including disputes that reached the courts.
Claimant David requested general and compensatory damages in an amount of US$500,000. He asserted the following causes of action related to structured notes: negligence; professional negligence; gross negligence; violations of law; negligent supervision; breach of contract; breach of fiduciary duty; and breach of securities industry rules and regulations. An all-public hearing at Phoenix, Arizona found the claims by David are not subject to Finra arbitration. The Panel did not find sufficien