Structured Product Loss Attorneys

How Our Skilled UBS Structured Product Loss Attorneys Can Help Investors 

Brokerage Firm Negligence?: UBS Financial May Have Unsuitably Recommended Complex Risky Investments 

Over the years, Shepherd Smith Edwards and Kantas ( have represented clients against UBS Financial in pursuing damages caused by broker fraud and negligence. This has included the brokerage firm allegedly unsuitably recommending investments that are too high-risk for customers or misrepresenting said risks and other key information about certain financial products and investing strategies.

Among the higher profile, recent investor loss cases we’ve handled are those involving the UBS Yield Enhancement Strategy (UBS YES), which cost some investors millions of dollars, and also, Puerto Rico bonds, which UBS brokers unsuitably sold to retail investors and small businesses. With our hard work and dedication, our team of experienced securities attorneys have helped UBS customers receive the financial recovery they are owed through Financial Industry Regulatory Authority (FINRA) arbitration, mediation, and litigation proceedings.

Our trusted structured products attorneys also represent clients against UBS over their investor losses involving:

  • Goal Yield Notes
  • Kick-in Goal
  • Worst of Kick-in Goal
  • BLOC
  • BLOC Plus
  • UBS Equita
  • Equita Yield
  • PERLES Plus
  • Trigger Yield Optimization Notes

Structured products are complex securities derivatives that do not trade on an exchange. Challenging for even brokers to understand, let alone explain to investors, alleged misrepresentations and omissions, including unsuitable investment recommendations to retirees, inexperienced investors, and wealthy investors, have led to significant investor losses.

Structured products often cost more in terms of commissions and fees, which can be an added incentive for brokers to market them to clients even when they are not the right fit for an investor given the latter’s risk tolerance level, investing profiles, or financial goals. Over the years, many of the investors we have represented against UBS and other brokerage firms have often complained that they were blindsided by the risks and allege that they were never fully apprised about structured products, such as:

  • The risk of complete loss of principal.
  • Certain changes in the yield or price of an investment underlying a structured product could lead to higher risk while limiting profit.
  • High illiquidity, would make it hard to sell or liquidate their position.
  • If the issuer’s credit standing changes, this could also lead to significant investment losses.

Why Work With Our Savvy Structured Product Loss Attorneys?

Shepherd Smith Edwards and Kantas have been fighting for investors for over 30 years. Our knowledgeable structured product lawyers, legal assistants, paralegals, and consultants have over a century’s worth of combined experience in securities law and the securities industry. We have the resources and experience to pursue damages against the largest brokerage firms on Wall Street.

When you retain our securities law firm, you are not just hiring one attorney, but you are bringing in our entire team. We will make it our mission to fight for you while protecting your legal rights. In addition to quality legal service, we provide customized personal attention.

Should we agree to work together, our structured product arbitration lawyers will prepare and file your FINRA lawsuit for you, and conduct the necessary due diligence to find the evidence to prove your investor losses could have been avoided if not for your brokerage firm’s negligent or wrongful actions, and represent you during the arbitration proceedings.

Broker-dealers will generally not admit to liability and they have a team of lawyers paid to protect their interests. This is all the more reason why you need Shepherd Smith Edwards and Kantas by your side.

Call (800) 259-9010 today to request your free, no-obligation case consultation with a Structured Product Loss Attorneys.







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