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Tag Archives: Lehman Brothers

FINRA Warns About Principal-Protected Structured Notes

  • Written by: AboutLawsuits
  • 1 Comment

Financial industry regulators have warned brokerage firms not to overstate the security of principal-protected notes (PPNs), which are not risk-free as their names often suggests. The reminder comes after a number of financial fraud lawsuits have been filed against brokers who allegedly sold the notes as conservative and safe investments without adequately disclosing the risks.…

Oppenheimer Fund Lawsuit Settled for $20M

OppenheimerFunds Inc. has reached a $20 million settlement with the state of Oregon, which accused the company of investment fraud over the management of a college investment plan that lost $36 million.…

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