{"id":2927,"date":"2015-09-16T00:00:00","date_gmt":"2015-09-16T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/sec-report-finds-flaws-in-the-retail-sales-of-structured-securities-products\/"},"modified":"2015-09-16T00:00:00","modified_gmt":"2015-09-16T04:00:00","slug":"sec-report-finds-flaws-in-the-retail-sales-of-structured-securities-products","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/sec-report-finds-flaws-in-the-retail-sales-of-structured-securities-products\/","title":{"rendered":"SEC Report Finds Flaws in the Retail Sales of Structured Securities Products"},"content":{"rendered":"<p><h2><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/SEC-Report-Finds-Flaws-in-the-Retail-Sales-of-Structured-Securities-Products.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter size-large wp-image-1827\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/SEC-Report-Finds-Flaws-in-the-Retail-Sales-of-Structured-Securities-Products-1024x683.jpg\" alt=\"SEC Report Finds Flaws in the Retail Sales of Structured Securities Products on silverlaw.com\" width=\"1024\" height=\"683\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/SEC-Report-Finds-Flaws-in-the-Retail-Sales-of-Structured-Securities-Products-1024x683.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/SEC-Report-Finds-Flaws-in-the-Retail-Sales-of-Structured-Securities-Products-300x200.jpg 300w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/a><\/h2>\n<h2>35 percent of structured products at the firms investigated were liquidated below 80 percent of their face value, allegations of unsuitable recommendations and sales limit abuse raised<\/h2>\n<\/p>\n<p>The Securities and Exchange Commission reported Monday that it has spotted failures in many broker-dealers controlling the retail sales of structured products, leading to unsuitable recommendations and potential abuse of limits to sales.<\/p>\n<p>Structured products, <a href=\"http:\/\/www.investopedia.com\/articles\/optioninvestor\/07\/structured_products.asp\"  target=\"_blank\">according to Investopedia<\/a>, are the result of taking traditional securities and replacing their typical payment features with other features that are meant to make an investor\u2019s risk-return objectives more customizable than they would be with only traditional securities.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/sec-report-finds-flaws-in-the-retail-sales-of-structured-securities-products\/\"  title=\"Continue Reading SEC Report Finds Flaws in the Retail Sales of Structured Securities Products\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>35 percent of structured products at the firms investigated were liquidated below 80 percent of their face value, allegations of unsuitable recommendations and sales limit abuse raised The Securities and Exchange Commission reported Monday that it has spotted failures in many broker-dealers controlling the retail sales of structured products, leading to unsuitable recommendations and potential [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[472],"class_list":["post-2927","post","type-post","status-publish","format-standard","hentry","category-all-releases","tag-flaws-in-the-retail-sales"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>SEC Report Finds Flaws in the Retail Sales of Structured Securities Products &#8212; Securities Arbitration Lawyers Blog &#8212; September 16, 2015<\/title>\n<meta name=\"description\" content=\"Read the full article on SEC Report Finds Flaws in the Retail Sales of Structured Securities Products on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/sec-report-finds-flaws-in-the-retail-sales-of-structured-securities-products\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"SEC Report Finds Flaws in the Retail Sales of Structured Securities Products &#8212; Securities Arbitration Lawyers Blog &#8212; September 16, 2015\" \/>\n<meta name=\"twitter:description\" content=\"Read the full article on SEC Report Finds Flaws in the Retail Sales of Structured Securities Products on silverlaw.com\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"SEC Report Finds Flaws in the Retail Sales of Structured Securities Products &#8212; 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