Tag Archives: UBS

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.…