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FINRA Arbitration Panels Continue to Find in Favor of Investors in Lehman Brothers Principal Protected Structured Notes

The Lax & Neville Blog provides commentary and news on developing legal issues in broker-dealer, securities, regulatory, and employment matters. Our goal is to keep the public informed of new and exciting developments in the securities and investment industries.

Lax & Neville, LLP is continuing to file and successfully resolve claims on behalf of investors against UBS Financial Services, Inc. (“UBS”) for sales practice abuses concerning UBS’s selling and marketing of principal protected structured notes issued by Lehman Brothers Holdings, Inc. (“Lehman Brothers”), which are structured investment vehicles that combine a fixed income note with a derivative typically linked to an equities index, a group of indices, or other assets (“Principal Protected Notes”). These Principal Protected Notes became close to worthless when Lehman Brothers filed for bankruptcy in September 2008.


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