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What's in a Name? Not Much, Say UBS Lehman Investors

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New York, NYIf there ever was a contravention in terms, it would be UBS Lehman Principal Protected Notes. In this case, the name certainly did not say it all after scores of investors suffered losses following the collapse of Lehman Brothers—a failure hailed as the biggest corporate collapse in US history.

Various plaintiffs participating either in class action or individual lawsuits, or arbitrations are claiming that not only did they believe the message fostered by the product name—that investment principal was protected—but also they were surprised to learn that UBS Principal Protected Notes were associated with Lehman Brothers in the first place.

While much of the world was caught off guard by the massive and seemingly sudden failure of Lehman Brothers, there were red flags flying in the close-knit financial community in the weeks before the Lehman collapse.

In e-mails released by the Financial Crisis Inquiry Commission and published February 15 in the International Herald Tribune, JPMorgan executive John J. Hogan wrote in a message to a colleague in September 2008, "[Lehman Brothers] sent the Junior Varsity—they have no proposal and are looking to us for ideas/credit line to bridge them to the first quarter…" The recipient responded, ''Let's give them an order for the same drugs they have apparently been taking to think that we would do something like that.''

UBS, in the fall of 2008, was conversant with the sliding fortunes of Citigroup and had actually cut equity finance lines to the struggling bank, until an eleventh hour appeal persuaded UBS to temporarily reverse their decision to trim Citigroup's financial lifeline.

Would UBS not have been aware of the declining fortunes of Lehman Brothers, together with the risk of a then-unthinkable failure? And what of investors who had purchased UBS Lehman structured notes?

Scores of disgruntled investors have sued, alleging UBS fraud. So far, investors who have filed arbitration claims against UBS through the Financial Industry Regulatory Authority (FINRA) have won seven out of eight cases. These "wins" add weight to those in the legal community who feel that in spite of a class-action lawsuit having been launched against UBS, investors who have suffered losses of $100,000 or greater may be well served to pursue an individual arbitration claim.


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UBS & Lehman of course are in agreements.

The history is there so read the public documents and weep. UBS & Lehman are in agreements. Can you do anything about harms? No! Consumers and Investors can no longer "cry foul" when harmed. You have to realize by now that you are forced to take your chances with con men in all matters related to commerce. You thought you were safe in securing loans for real estate. your not. You thought you were safe purchasing bonds, you were not.

Sadly, our representatives in Congress are not embarrassed that they wrote the handbook of 'loopholes' through which you as a class of consumer are harmed.

UBS & Lehman as legal entities weigh which side of the ‘scales of justice’ they want to operate:

1) Principles of Justice & Fairness which automatically comes with an unlimited "Stay out of jail card"; or
2) Choose to "Ignore the laws of the United States of America" and as a foreign organization get to engage in commerce, using a USA address, and reap owing the USA, enjoying higher profit margins, and get to keep the 'Unlimited-Sanctions-Pass-Thru' paying fines as they go take over owning the consumer's property of the United States of America.

Sadly, citizens of the United States are not safe in life and property. Consumers are without due process and are subject to unlawful seizure of their property is a fact. Consumers as residents of a state are the only class of consumer forced to face the Judicial Branch of Government under Article III. Judicial Branch provides judges who are experts in law and who are without education related to commerce. A loophole used by foreign organizations who setup storefronts on Main Street USA taking one property at a time deceptively over and over again.

Respectfully sad to be an American under the current government who brings disrespect to my forefathers, my father, his brothers and sons, my mother-in-law, grandfather, father-in-law, even our Uncle Francis Lewis who signed the Declaration of Independence. They all are rolling over in their graves.

Mary Cochrane
Save America One Mortgage At A Time
Victory Over Theft Exchange


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