UBS Struggles in Arbitrations Involving Principal Protected Notes

Representing Investors Nationwide

A recent Forbes article documents the success investors have had in FINRA arbitration against UBS over losses associated with proprietary structured products…most notably the Principal Protected Notes (PPN).

In the FINRA complaints, investors allege UBS marketed the notes as relatively safe investments with principal protection. What investors allege they did not disclose was the fact that many of the notes were essentially unsecured debt of now defunct Lehman Brothers Holdings. These claims allege misrepresentation in the marketing and sale of the structured products and so far the arbitration panels are agreeing, awarding damages in four of the first five PPPN cases that have gone to hearing.

Our securities attorneys currently are currently litigating numerous UBS structured product arbitration cases. If you have lost money as a result in an investment in a UBS PPN, PPPN, Rate optimization or Absolute Return Barrier Notes backed by Lehman Brothers credit, please contact our offices for a case evaluation. Thank you.-