Investigation of UBS Financial Advisors Who Sold Structured Notes

Did You Lose Money Investing in UBS Financial Structured Notes? Call Us to Discuss Your Case

The Sonn Law Group is currently investigating claims related to structured notes (GOAL yield products) offered to investors by advisors at UBS Financial Services. Many of these complex, risky investments suffered major losses. To discuss your case with an experienced attorney, please contact our legal team right away, or call us anytime at 866–827–3202 to schedule a free consultation.

UBS Financial Services (CRD#: 8174/SEC#: 801–7163, 8–16267) is one of the largest brokerage firms and investment advisory firms in the country.

According to public information, many UBS Financial Services representatives sold a complex type of securities derivative called a ‘structured note’ to investors. These products come in many different forms. Some notable examples include:

● Goal yield notes;

● BLOC Plus;

● Equita yield; and

● UBS Equita.

These are risky, complex, and highly illiquid investments. As a result of recent market conditions, some investors have sustained major losses in the structured note products offered by UBS Financial Services.

Brokers Must Recommend Suitable Financial Products

Under FINRA rules, brokers and financial advisors have a professional obligation to understand the goals, needs, financial position, and risk tolerance of their individual customers. With this information in mind, securities professionals should only offer investments that are truly suitable for their customers. If a broker makes unsuitable investment recommendations and their client suffers losses, they may be held liable through a FINRA arbitration claim.

If you worked with a UBS Financial Services broker or adviser and you were sold structured notes, including GOAL yield products, you may have a viable claim. More specifically, if you sustained major losses in any structured investment product that you did not fully understand or that you feel was too risky, it is imperative that you call a lawyer right away.

Jeffrey R. Sonn is an experienced investment fraud attorney. If you suffered losses after your UBS Financial Services advisor recommended structured notes or GOAL yield products, our law firm can help. Please contact us today for a free, no obligation initial consultation.