Car Accident Injury

In the last several years, such brokerage firms as UBS, Charles Schwab, Smith Barney and others, aggressively and carelessly offered and sold structured notes, including principal protected notes ("PPN's") to their retail customers. Investors from all around the country and the world bought these notes with promises that the notes were safe, with the potential of generating large returns.

Lehman Brothers went out of business in September 2008 and its dying days specifically created “principle protected notes,” which, according to the marketing materials that were used to sell them, guaranteed that the value of the principle could not decline. The notes also promised investors  an opportunity to increase in value if the value of the Standard & Poors 500 also increased. In other words, these investments were sold as if your investment could not lose money and in fact would stand a very good chance of making money.


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Although these “principle protected notes” sounded as if they were simple and safe investments, in reality, these notes are extremely complex financial products. These notes combined different kinds of derivatives.  The allegedly guaranteed portion was guaranteed by the bank. In this case, the guarantor was Lehman Brothers.  But this and other “structured products” were subject to a risk that was not adequately explained to investors—the guarantee is only good as the company that backs your investments.  And, again, in this case that company - Lehman Brothers - failed. The risks associated with these notes often far outweighed the expected returns. The truth is that securities regulators specifically called these notes "Non-Conventional Investments" and warned brokerage firms - when selling PPN's and other structured products to retail customers - that they must explain with extreme care the complexity and the potential risk of the products. When that happened, your investment, which was supposed to be guaranteed, tumbled in value. Some of these investments have now become completely worthless.

If you or a loved one has been victimized by Lehman Brothers, call the Law Firm of Allen L. Rothenberg at 1-800-624-8888 or submit a free online case evaluation. The initial consultation is FREE of charge, and if we agree to handle your case, we will work on a contingency fee basis, which means we get paid for our services only if there is a monetary recovery of funds. In many cases, a lawsuit must be filed before an applicable expiration date, known as a Statute of Limitations. Therefore, please call right away to ensure that you do not waive your right to possible compensation.

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