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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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