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Zamansky LLC Investigates Investment Fraud Claims Relating to UBS GOAL Structured Note Losses

December 16, 2022 Alternative Investment Lawyer

We are investigating potential investment fraud claims for investors with losses from structured products sold by accounts at UBS Financial Services Inc. who have suffered losses from investing in any of the firm’s structured notes, called GOAL Yield products, due to recent market volatility.   When the market declines, the GOAL notes can break a set barrier which triggers principal losses.

UBS has offered a variety of structured products to investors which are designed to generate “enhanced yield” during flat or low interest rate markets.  These products are often sold or marketed as strategies for investors to increase or enhance their yield.  However, to achieve the enhanced returns or yield, there is substantial risk of loss to the investor due to market volatility that may not be fully understood.  These products should be purchased by aggressive investors only.

UBS’s structured products at issue:

GOAL Yield notes
Kick-in GOAL
Worst of Kick-in GOAL
Equita Yield
UBS Equita

Structured products are subject to the specifications of NASD Notice to Members 05-59. Notice to Members 05-59 reminds members offering structured products of their obligations to: (1) provide balanced disclosures in promotional efforts; (2) ascertain accounts eligible to purchase structured products; (3) deal fairly with customers with respect to derivative products; (4) perform a reasonable basis suitability determination; (5) perform a customer specific suitability determination; (6) supervise and maintain a supervisory control system; (7) train associated persons regarding the features, risks, and suitability of these products.  Any violation of these rules may give rise to investment fraud.

If you have losses from any investment fraud, please call our investment fraud attorney Jake Zamansky at (212) 742-1414 or email for a free evaluation of your potential legal rights.

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