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Principal Protected Notes

PRINCIPAL PROTECTED NOTES

UNDERSTANDING HOW PRINCIPAL PROTECTED NOTES WORK

Principal protected notes are structured products that offer a guaranteed minimum rate of return at maturity that is equal to the amount originally invested, as well as potential gains. Similar to bonds in their conservative approach, principal protected notes have traditionally held very little risk, if any. Principal protected notes can be a good investment for some, but are difficult for many to fully understand. A knowledgeable California securities fraud attorney with The Law Offices of Jonathan W. Evans & Associates can discuss the elements of your potential or current investment, and will help in recognizing investment losses that may have been the fault of the industry professional that facilitated the transaction.

As a structured product, principal protected notes are tied to other assets such as indexes like NASDAQ or the S & P 500. Investors can retain returns in addition to the original principal as long as the index associated with the PPN does not drop below or rise above a specified level. If the index does breach those parameters, then the principal may be the only return available at maturation. If structured poorly, PPN's can actually result in total loss of investment. Due to the high rate of commission, brokerage firms and brokers may overlook the risky aspects of the environment, or may fail to identify suitability conflicts with investors.

DISPUTING LOSSES IN BAD PRINCIPAL PROTECTED NOTES INVESTMENTS

Public investors should always strive to learn as much as possible about their potential investments, especially if the facilitating broker seems to be pushing a product that promises 100% protection from loss. Recent economic troubles in the United States and throughout the world have shown that no investment is fully protected. Misconduct or fraud by industry professionals does persist, however, and investors continually experience significant loss at the hands of this type ofnegligence and other common claims to loss. The Law Offices of Jonathan W. Evans & Associates has over 35 years of experience in representing our clients in all areas of practice concerning the recovery of losses on principal protected note investments. Our firm has worked to achieve favorable settlements for hundreds of clients statewide as well as nationally and globally.

Contact a California securities arbitration attorney if you have suffered losses in your principal protected note investments due to broker negligence.

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