Investor Wins Arbitration Award Against UBS Over Lehman PPN

On December 4, 2009, the Wall Street Journal reported that a FINRA Arbitration Panel awarded an investor $200,000.00 against UBS because the broker inappropriately sold her risky Lehman Brothers principal protected notes.

Blum Law Group is representing investors in FINRA arbitration claims who suffered losses at UBS as a result of losses in Lehman principal protected notes and Lehman preferred shares. These securities were typically recommended as safe investments. However, many investors allege they were not warned of the risk and suffered extraordinary losses as a result.