AV Preeminent
Justia Lawyer Rating
Super Lawyers
Best Lawyers
Best Law Firms

Structured Products

Sales of structured products have greatly increased in the last several years as investment professionals began to introduce these products, which were designed for institutional investors, into the retail market. Such structured products include equity linked notes, i.e. securities issued by a brokerage firm and traded in secondary markets like stock. Such investments can be too complex for retail investors and even for registered representatives to understand. In addition to being very complex, they often offer benefits to investors that are already available in the form of less risky, less complicated and less costly investments.

FINRA has issued notices to members concerning such non-conventional retail investments, emphasizing the obligations of registered representatives to fully explain these products to customers, make sure customers understand them and that they are suitable for customers. Because of the complexity of the products and how the investment professionals are compensated (which is often over and above a more conventional investment alternative) such products are ripe for abuse.

The Firm has represented investors in structured product claims against various financial institutions.

Securities Fraud Attorney Blog - Complex Products
Client Reviews
Daniel Katz and his firm are exceptionally knowledgeable about the constantly changing construction business and they have given my company insightful legal advice throughout the years. They have assisted with numerous construction negotiations, claims, and business matters with many satisfactory resolutions. Michael B.
Daniel Katz and his team have always been exemplary, always prepared, always responsive and extremely knowledgeable about construction issues. I cannot imagine better representation. Jim F.
RIK fought hard for me in my FINRA arbitration which resulted in an outstanding result. I will forever be grateful to them. Jeff B.
Ross and his team did a wonderful job representing me in my employment dispute. They were honest, intelligent and hard working. I recommend RIK to all of my colleagues in the financial industry. Steven F.
The theft of pension fund assets by a money manager prompted the Board of Trustee’s investigation into “how did this happen?” John Rich and the Rich, Intelisano & Katz team managed this complex securities litigation matter to fruitful results for our pension fund. Cecelia C., Executive Director