Our Attorneys Could Help You Recover UBS Yield Enhancement Strategy (YES) Losses

August 26, 2019 |

If you lost money investing in the UBS Yield Enhancement Strategy (YES), our attorneys may be able to recover your losses by filing a FINRA arbitration claim (Financial Industry Regulatory Authority). UBS is required to arbitrate all customer disputes.If you lost money investing in the UBS Yield Enhancement Strategy (YES), our attorneys may be able to recover your losses by filing a FINRA arbitration claim (Financial Industry Regulatory Authority). UBS is required to arbitrate all customer disputes.

The UBS Yield Enhancement Strategy

The UBS Yield Enhancement Strategy involved trading options with a complex series of put and call spreads with the same expiration date and different strike prices with a strategy called an “iron condor”.

UBS allegedly marketed its Yield Enhancement Strategy as a conservative method for investors to increase return on their money in a low interest rate environment. Unfortunately, the investment was risky and ended up losing many investors substantial money.

Many investors have alleged UBS did not adequately disclose the risks involved in their strategy and/or they may not have considered the investor’s investment objectives when pushing this strategy. For those reasons, it may be possible to recover losses from this product.

FINRA Dispute Resolution

FINRA operates a dispute resolution forum where non-judicial arbitration and mediation proceedings can resolve securities disputes between investors and brokerage firms and brokers.

The benefit of filing an arbitration or mediation claim with FINRA is that you can recover damages, usually faster than through litigation. Awards for damages are legally binding and they are not typically overturned.

Our team of attorneys have been working together on cases for many years. Our leading attorneys have extensive experience prosecuting investment fraud disputes. Our background and experience includes working at the Securities and Eschange Commission (SEC), in house counsel for a brokerage firm, and on Wall Street as a defense attorney. Our past experience gives us the knowledge and resources necessary to help you maximize your recovery.

Contact our UBS YES attorneys today at 800-975-4375.