
The Financial Industry Regulatory Authority fined UBS Financial Services, Inc. $2.5 Million and required UBS to pay $8.25 million in restitution for omissions and statements made that effectively Deceived/Defrauded some investors regarding the principal protection feature of 100% Principal-Protection Notes (ppns) Lehman Brothers Holdings Inc. Issued prior to its September 2008 bankruptcy filing. For more info visit https://www.finra.org/media-center/news-releases/2011/finra-fines-ubs-financial-services-25-million-orders-ubs-pay