Investor Alert: UBS Yield Enhancement Strategy (UBS YES)

Have you suffered losses investing in UBS Yield Enhancement Strategy (UBS YES)? 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.

UBS, a multinational financial services firm, offered the Yield Enhancement Strategy as an option-based trading strategy to increase returns for investors who committed a certain minimum amount of their portfolio (or “Mandate”) to this strategy.

YES is designed “to generate returns through the strategic sale and purchase of SPX index option spreads,” according to UBS.

UBS offered the Yield Enhancement Strategy typically to high net worth investors who were required to allocate a minimum Mandate to the UBS YES program. Investors were often presented with a “slide deck,” or presentation, which purported to describe the Yield Enhancement Strategy program.

According to reports, in recent weeks, UBS Yes investors have started seeing substantial losses in their portfolios. While some investors are expressing serious concerns, the losses are reportedly continuing to increase.

Unfortunately, it appears that some UBS YES investors were asked to provide additional collateral and/or are facing margin deficits.  Others reportedly were not able to get out of the Yield Enhancement Strategy programs, and could be facing catastrophic losses.

Investigating Potential Lawsuits

The White Law Group is investigating potential securities fraud lawsuits involving broker dealers who may have unsuitably recommended UBS Yield Enhancement Strategy to investors.

If you have suffered losses investing in UBS YES, 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.

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