Puerto Rico Bond Losses May Lead to Investor Lawsuits Against UBS
UBS and other firms face FINRA arbitration lawsuits over Puerto Rico municipal bond funds, which have lost significant value.
Tag Archives: UBS
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FINRA Arbitration Process for Claims of $10M or More Launched
A new pilot program has been launched by the Financial Industry Regulatory Authority (FINRA), in hopes of better managing large arbitration claims involving $10 million or more.
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More UBS Arbitration Claims Over Lehman Notes Likely Following Bankruptcy
Financial fraud lawyers are expecting an influx of arbitration claims against UBS Financial Services following an announcement that holders of Lehman Brothers principle protected notes (PPN) will only receive 21…
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UBS Settlement Over Lehman Brothers Notes Results in $8M Payment
UBS Financial Services Inc. has been ordered to pay $8.25 million in restitution for misleading investors on the security of Lehman Brothers principal protected notes (PPNs) by the Financial Industry…
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UBS Investor Arbitration Suit Over Lehman Notes Results in $2.2M Award
An arbitration panel has awarded more than $2.2 million to an investor as the result of a claim against UBS Financial Services over losses associated with Lehman Brothers principal protected…
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UBS Broker Arbitration Claim Over Lehman Notes Results in $529K Award
A FINRA arbitration panel has awarded $529,688 to a retired couple who pursued an investor claim against their UBS broker over losses associated with Lehman Brothers structured notes, which were…
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Lehman Notes Lawsuit Filed Against UBS Over Deceptive Sales
A financial fraud lawsuit has been filed against UBS by an Indiana couple who claim the brokerage firm sold them high risk Lehman structured notes while claiming they were safe…
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UBS Investor Arbitration Claim Results in $81M Damages Award
Financial industry regulators have ordered UBS Financial Services, Inc. to pay $81 million to Kajeet, Inc. following an investor arbitration claim over auction-rate securities.
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FINRA Warns About Principal-Protected Structured Notes
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…
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Case Against UBS Over Lehman Brothers Notes Results in $200k Award
An investor has been awarded $200,000 in a stockbroker fraud claim against UBS Financial Services over the sale of Lehman Brothers structured notes, which were rendered virtually worthless after the…
