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Securities Arbitration and Litigation

Tuesday, July 14, 2009. Lehman Principal Protected Notes / UBS. Brothers declared bankruptcy in September 2008, investors who held these notes stand to lose much if not all of their principal. According to Jeff Spill, Deputy Director of Securities Regulation for Enforcement, "UBS presented these notes as simple, safe investments when in fact they are highly volatile and are subject to shifting market conditions. The safety of these products was exaggerated. We believe. UBS engaged in unfair and unlawful ...

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Securities Arbitration and Litigation | securitieslawfirm.blogspot.com Reviews

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Tuesday, July 14, 2009. Lehman Principal Protected Notes / UBS. Brothers declared bankruptcy in September 2008, investors who held these notes stand to lose much if not all of their principal. According to Jeff Spill, Deputy Director of Securities Regulation for Enforcement, UBS presented these notes as simple, safe investments when in fact they are highly volatile and are subject to shifting market conditions. The safety of these products was exaggerated. We believe. UBS engaged in unfair and unlawful ...

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Securities Arbitration and Litigation | securitieslawfirm.blogspot.com Reviews

https://securitieslawfirm.blogspot.com

Tuesday, July 14, 2009. Lehman Principal Protected Notes / UBS. Brothers declared bankruptcy in September 2008, investors who held these notes stand to lose much if not all of their principal. According to Jeff Spill, Deputy Director of Securities Regulation for Enforcement, "UBS presented these notes as simple, safe investments when in fact they are highly volatile and are subject to shifting market conditions. The safety of these products was exaggerated. We believe. UBS engaged in unfair and unlawful ...

INTERNAL PAGES

securitieslawfirm.blogspot.com

1

Securities Arbitration and Litigation: February 2009

http://securitieslawfirm.blogspot.com/2009_02_01_archive.html

Monday, February 9, 2009. Morningstar Gives Three Funds 'F' Grades. February 9, 2009. RiverSource Investments, American Century Investments and OppenheimerFunds have received "F" grades from a Morningstar analyst for failing to explain recent changes to shareholders and adding to the paranoia of already shaken investors.". Gogerty said RiverSource, a unit of Ameriprise Financial Inc., failed to explain why it passed on the cost of a transfer agent switch to shareholders. Oppenheimer failed investors by n...

2

Securities Arbitration and Litigation

http://securitieslawfirm.blogspot.com/2009/01/oppenheimerfunds-cuts-9-of-workforce-as.html

Friday, January 30, 2009. OppenheimerFunds Cuts 9% of Workforce as Assets Fall. By Sree Vidya Bhaktavatsalam. Jan 29 (Bloomberg) - OppenheimerFunds Inc., a money- management unit of Massachusetts Mutual Life Insurance Co., eliminated about 9 percent of its workers after bond returns tumbled and investors defected. To lead the asset manager starting Jan. 1. 8220;They have a serious credibility issue and have a lot of work to do,” Burton Greenwald. OppenheimerFunds’ assets tumbled 45 percent to $144 ...

3

Securities Arbitration and Litigation: May 2009

http://securitieslawfirm.blogspot.com/2009_05_01_archive.html

Wednesday, May 27, 2009. Ruderman Hedge Fund Bilked Investors, Prosecutors Say. Bloomberg) - A hedge fund manager in Beverly Hills, California, bilked investors out of about $44 million while claiming annual returns of as much as 60 percent, U.S. prosecutors said. Ruderman’s lawyer, James Riddet, didn’t immediately return a call to his office seeking comment. The Securities and Exchange Commission sued Ruderman April 30 and got an emergency court order freezing his assets. Ruderman falsely claimed th...

4

Securities Arbitration and Litigation: Lehman Principal Protected Notes // UBS

http://securitieslawfirm.blogspot.com/2009/07/lehman-principal-protected-notes-ubs.html

Tuesday, July 14, 2009. Lehman Principal Protected Notes / UBS. Brothers declared bankruptcy in September 2008, investors who held these notes stand to lose much if not all of their principal. According to Jeff Spill, Deputy Director of Securities Regulation for Enforcement, "UBS presented these notes as simple, safe investments when in fact they are highly volatile and are subject to shifting market conditions. The safety of these products was exaggerated. We believe. UBS engaged in unfair and unlawful ...

5

Securities Arbitration and Litigation: Ruderman Hedge Fund Bilked Investors, Prosecutors Say

http://securitieslawfirm.blogspot.com/2009/05/ruderman-hedge-fund-bilked-investors.html

Wednesday, May 27, 2009. Ruderman Hedge Fund Bilked Investors, Prosecutors Say. Bloomberg) - A hedge fund manager in Beverly Hills, California, bilked investors out of about $44 million while claiming annual returns of as much as 60 percent, U.S. prosecutors said. Ruderman’s lawyer, James Riddet, didn’t immediately return a call to his office seeking comment. The Securities and Exchange Commission sued Ruderman April 30 and got an emergency court order freezing his assets. Ruderman falsely claimed th...

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securitieslawfirm.blogspot.com

Securities Arbitration and Litigation

Tuesday, July 14, 2009. Lehman Principal Protected Notes / UBS. Brothers declared bankruptcy in September 2008, investors who held these notes stand to lose much if not all of their principal. According to Jeff Spill, Deputy Director of Securities Regulation for Enforcement, "UBS presented these notes as simple, safe investments when in fact they are highly volatile and are subject to shifting market conditions. The safety of these products was exaggerated. We believe. UBS engaged in unfair and unlawful ...

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