Recovery of Investment Losses – UBS YES Strategy 

Have you suffered losses investing in UBS YES Strategy (Yield Enhancement Strategy)? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution Claim against the brokerage firm that sold you the investment.

The White Law Group is continuing its  investigation of potential securities fraud lawsuits involving broker dealers who may have unsuitably recommended UBS YES Strategy to investors.

As we told you last August, UBS Financial Services is reportedly facing dozens of complaints related to the UBS Yes Strategy, a complex investment strategy involving option contracts and leverage. The strategy, called UBS Yield Enhancement Strategy, or “YES,” has reportedly already generated at least $60 million in losses for clients and dozens of customer complaints.

While the strategy generated positive returns during times of low market volatility,  at the end of the year when market volatility increased, huge losses resulted. Because the program used borrowed money, investors had to either add additional money when trades went down or sell their positions at a loss.

The strategy had losses of more than 13% at one point last year., even though the UBS marketing materials claimed to “limit exposure” to extreme market moves.

Securities Fraud Investigation

Brokerage firms are required to perform due diligence on any offering they recommend. They must ensure that all recommendations made are suitable in light of the client’s age, investment experience, net worth, income, and investment objectives.

If a firm fails to perform due diligence or makes an unsuitable recommendation, the broker-dealer can be held responsible for any losses in a FINRA Arbitration claim.

FINRA Dispute Resolution is an arbitration venue for investors with claims against their brokerage firm or financial professional.  It provides investors with an opportunity to attempt to recoup their investment losses without filing such claims in court.

If you have suffered losses investing in UBS YES Strategy, please contact the securities attorneys at The White Law Group.  For a free consultation, please call the offices at 888-637-5510.

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.

We represent investors in FINRA arbitration claims in all 50 states. Our attorneys have recovered millions of dollars from many brokerage firms in the past, including UBS.

For more information on The White Law Group, and its representation of investors, please visit www.WhiteSecuritiesLaw.com.