Investigating Potential Claims Involving Uni-Pixel

Investor Alert: Uni-Pixel

Are you concerned about your investment in Uni-Pixel? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment.

UniPixel, Inc. (NASDAQ: UNXL) develops and markets high performance metal mesh capacitive touch sensors for the touchscreen and flexible displays markets. The Company’s roll-to-roll electronics manufacturing process patterns fine line conductive elements on thin films. The company markets its technologies for touch panel sensor, cover glass replacement, and protective cover film applications under the XTouch™ and Diamond Guard™ brands.

Uni-Pixel filed a Form D in The Woodlands, NY in 2010 to raise capital.

The Risks of  Reg D Private Placements

The White Law Group is investigating the liability that FINRA registered brokerage firms may have for improperly selling alternative investment products like Uni-Pixel to their clients.

Private Placements are often riskier and more complicated than traditional investments, and are only suitable for high net worth, sophisticated investors. These types of investments are a means for smaller companies to raise capital through the sale of equity or debt securities without having to register their securities with the SEC.

Broker dealers are required to perform adequate due diligence on any investment they recommend. They must ensure that all recommendations are suitable for the investor. Recommendations should be in line with the investor’s age, risk tolerance, net worth, and investment experience.

Despite the risks of investing in this type of alternative investments, brokerage firms continue to push this type of investment because of the high commissions associated with their sale and creation.

If you are concerned about your investment in Uni-Pixel or another private placement investment and would like to speak with a securities attorney about your options, please call The White Law Group at 888-637-5510 for a free consultation.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.

For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit https://whitesecuritieslaw.com.