Case Studies
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Unauthorized purchases of fund units as part of an investment advisory mandate
The client, a resident of an EU country, opened a banking relationship and concluded an investment advisory agreement. She transferred a seven-figure sum in euros (…) -
Damage due to inadequate monitoring of the securities portfolio by the bank as part of an investment advisory mandate
The client had concluded an investment advisory agreement with the bank in 2018. She had her banking transactions carried out by her husband, who was authorized (…) -
Claim for damages in connection with the recommendation of a structured product
The client explained that she was a conservative investor. In 2007, the bank’s client advisor recommended an investment of CHF 10 000 in a so-called Kick-in GOAL (…) -
Claim for damages in connection with the purchase of structured products on currencies on the basis of an alleged de facto investment advisory agreement
The client represented by the lawyer was a foreign domiciliary company. It had lost almost USD 3 million with an investment in structured products on currencies. It (…) -
Losses following investment advice given by the Bank
The clients were a retired couple. After the sale of a property, they each had around CHF 300 000 at the bank under two different relationships. Based on investment (…) -
Loss with a call warrant
The client had acquired call warrants on shares in X. AG, with which he suffered a total loss. He then approached the issuer of the call warrants and argued that (…) -
Loss with exchange-traded leverage products
The client suffered losses in the mid six-figure range in connection with the market turmoil during the Corona crisis with exchange-traded leverage products. He (…) -
Losses in connection with Wirecard shares within the scope of an investment advisory relationship
The client, who had a large securities portfolio, had concluded an investment advisory contract with the bank. Based on the recommendations of his investment (…) -
Losses related to unexecuted securities sale orders
The client privately held two securities portfolios with different investment objectives at the bank, for which he had concluded written investment advisory (…)