15 results

• Lehman Brothers Financial Fraud Investigation Dropped by SEC: Report

  May 25, 2012

  Irvin Jackson

  Federal investigators are reportedly dropping a criminal probe against Lehman Brothers Holdings Inc. and are not expected to file any...

• More UBS Arbitration Claims Over Lehman Notes Likely Following Bankruptcy

  November 2, 2011

  Staff Writers

  Financial fraud lawyers are expecting an influx of arbitration claims against UBS Financial Services following an announcement that holders of...

• UBS Settlement Over Lehman Brothers Notes Results in $8M Payment

  April 14, 2011

  Staff Writers

  UBS Financial Services Inc. has been ordered to pay $8.25 million in restitution for misleading investors on the security of...

• UBS Investor Arbitration Suit Over Lehman Notes Results in $2.2M Award

  January 7, 2011

  Staff Writers

  An arbitration panel has awarded more than $2.2 million to an investor as the result of a claim against UBS...

• UBS Broker Arbitration Claim Over Lehman Notes Results in $529K Award

  November 9, 2010

  Staff Writers

  A FINRA arbitration panel has awarded $529,688 to a retired couple who pursued an investor claim against their UBS broker...

• Lehman Notes Lawsuit Filed Against UBS Over Deceptive Sales

  August 26, 2010

  Staff Writers

  A financial fraud lawsuit has been filed against UBS by an Indiana couple who claim the brokerage firm sold them...

• FINRA Warns About Principal-Protected Structured Notes

  January 5, 2010

  AboutLawsuits

  Financial industry regulators have warned brokerage firms not to overstate the security of principal-protected notes (PPNs), which are not risk-free...

• Case Against UBS Over Lehman Brothers Notes Results in $200k Award

  December 9, 2009

  AboutLawsuits

  An investor has been awarded $200,000 in a stockbroker fraud claim against UBS Financial Services over the sale of Lehman...

• Oppenheimer Fund Lawsuit Settled for $20M

  November 24, 2009

  AboutLawsuits

  OppenheimerFunds Inc. has reached a $20 million settlement with the state of Oregon, which accused the company of investment fraud...

• Merrill Lynch Investor Arbitration Claim Results in $39.8 Million Award

  April 2, 2009

  AboutLawsuits

  An arbitration panel through the Financial Industry Regulatory Authority (FINRA) awarded an investor $30.6 million in compensatory damages and $9.2...