Category Archives: Structured Products

As the Securities Arbitration Law Firm of Klayman & Toskes Continues to Prosecute Claims Against UBS On Behalf of Lehman Brothers Principal Protection Note Investors, SEC and FINRA Issue Joint Investor Alert Regarding Principal Protection Notes

Posted on June 16, 2011 by Klayman & Toskes

The Securities Arbitration Law Firm of Klayman & Toskes (“K&T”), announced that it is continuing to pursue securities arbitration claims against UBS Financial Services (NYSE: UBS) with the Financial Industry Regulatory Authority’s (“FINRA”) Office of Dispute Resolution on behalf of … Continue reading →

Posted in FINRA, Lehman Brothers Holdings, Lehman Brothers Principal Protected Notes, SEC, Structured Products | Leave a comment

SEC, FINRA Warn Retail Investors About Investing in Structured Notes With Principal Protection

Posted on June 3, 2011 by Klayman & Toskes

The Securities and Exchange Commission’s (“SEC”) Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (“FINRA”) have issued an investor alert called Structured Notes with Principal Protection: Note the Terms of Your Investment to educate investors about … Continue reading →

Posted in Enforcement, FINRA, SEC, Structured Products, UBS | 1 Comment