UBS Yield Enhancement Strategy (UBS YES) Securities Investigation

Aug. 16, 2019 12:32 PM ET
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Securities attorney

Contributor Since 2011

The White Law Group is a national securities fraud, securities arbitration, investor protection and securities regulatory/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. We pride ourselves on providing quality legal services to our clients and handle securities fraud cases throughout the country. Many of our clients have lost a significant portion of their net worth as the result of the negligence of their financial professional. As such, we believe that part of our role as attorney is to offer a supportive environment for our clients and to provide advice and support as we attempt to recover these investment losses. Dedicated to the representation of investors in claims against their financial professional or brokerage firm, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions. For more information about The White Law Group call our Chicago office at 312-238-9650 or visit us on the web at http://www.whitesecuritieslaw.com.

Summary

  • UBS YES Investment Losses - Investors may have claims.

The White Law Group is investigating potential securities fraud lawsuits involving UBS Yield Enhancement Strategy (UBS YES).

If you have suffered losses investing in UBS YES, 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 Yield Enhancement Strategy as an option-based trading strategy offered by UBS to increase returns for investors who committed a certain minimum amount of their portfolio (or “Mandate”) to this strategy.

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

UBS typically offered the Yield Enhancement Strategy 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.

UBS Yes investors have reportedly seen substantial losses in their portfolios since March 2019. 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.

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.

Disclosure: I/we have no positions in any stocks mentioned, and no plans to initiate any positions within the next 72 hours.

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