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Articles Posted in UBS YES Strategy

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RIK Attorneys Won $3.2 Million for their Clients Against UBS Relating to Its YES Options Overlay Strategy

The investment fraud lawyers at Rich, Intelisano & Katz (“RIK”) won $3.2 million for their clients, Bret and Marion Pearlman, in a recent FINRA arbitration against UBS.  The Pearlmans’ claim was for misrepresentations and omissions related to UBS’s Yield Enhancement Strategy (YES) – an options overlay strategy.  It is the…

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RIK Won the Largest Award Against UBS Relating to Its YES Options Strategy

The investment fraud attorneys at Rich, Intelisano & Katz won a $5.2 million FINRA arbitration award for their clients, George and Sandra Schussel, in a case relating to UBS’s Yield Enhancement Strategy (“YES”).  Investors in YES, including the Schussels, suffered significant losses in December 2018.  Many investors in YES have…

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Unsuspecting Investors Lost Millions Due to UBS’s Failure to Make Adequate Disclosures about Its Yield Enhancement Strategy (“YES”)

Many investors of UBS’s Yield Enhancement Strategy (“YES”), if not all, would never have invested in YES if UBS made full and fair disclosures related to its risks.  YES was marketed as an overlay strategy for additional incremental investment income.  Put simply, UBS advertised YES as an “iron condor” strategy…

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UBS’s Yield Enhancement Strategy (“YES”) Is Not an Iron Condor

Hundreds of investors have been duped by UBS’s Yield Enhancement Strategy (YES).  In its marketing materials, UBS told investors that its YES strategy was an Iron Condor, a generally low risk options “overlay” strategy designed to generate incremental income on top of that generated from a customer’s other investment assets. …

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With the Reopening of In-person Hearings, Investors Will Continue Recovering for Losses Sustained UBS’s Yield Enhancement Strategy (“YES”)

Investors lost millions in UBS’s high-risk Yield Enhancement Strategy (“YES”).  Despite UBS’s claims that this was a low-risk strategy and that losses were protected by hedging put and call options, investors had substantial losses when the S&P dropped in 2018 and 2019.  Even with these losses, UBS brokers continued to…

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RIK Files $3 Million Claim Related to the UBS Yield Enhancement Strategy (“YES”)

Rich, Intelisano & Katz, LLP (RIK) filed a $3 million FINRA arbitration this month on behalf of clients that invested in UBS Financial Services, Inc.’s Yield Enhancement Strategy (YES).  UBS claimed the YES Program had minimal risk, but unbeknownst to its customers, the risks of this options trading strategy significantly…

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UBS YES Strategy Lawsuits

Rich, Intelisano & Katz, LLP (RIK) continues its investigation into UBS’ sale of its Yield Enhancement Strategy or the “YES” options program. Many investors around the country have filed arbitrations against UBS alleging that UBS misrepresented the risks of the options program, failed to implement appropriate risk controls, and failed…

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UBS’s Flawed Yield Enhancement Strategy (YES)

The so-called  “Yield Enhancement Strategy,”  or “YES,” has seen a major rise in popularity at large investment firms, especially UBS,  as a vehicle for investors  to “enhance” returns relatively safely.  “YES” has been pitched as a relatively safe way to generate enhanced returns on a consistent basis, especially when markets are flat.   Fairly stable markets have been norm for many years, until recently, making…

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