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Articles Posted in Yield Enhancement Strategy

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UBS YES Strategy Customers Of Broker Jason Dworak Awarded Over $1M

Lincoln, Nebraska Stockbroker Named In Multiple Six-Figure Options Overlay Claims  A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two claimants over $1M in their UBS Yield Enhancement Strategy (YES) claim against respondent UBS Financial Services (UBS).  Their broker, Jason Mathew Dworak, was not a respondent in the customer…

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UBS YES Strategy Customers of Broker Eric Wittenberg Are Seeking at Least $1.8M in Damages

New York Stockbroker and Investment Advisor is Accused of Misrepresentations and Unsuitability   Eric Andrew Wittenberg, a managing director and private wealth advisor at UBS Group AG (UBS) in the New York metropolitan area, is being blamed by a number of the firm’s customers for investment losses they suffered after he…

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Investors Blame UBS Broker and Edinroc Financial Group Head Jose Cornide For Recommending YES Strategy

Florida Financial Advisor is Named in at Least 10 FINRA Cases, Including One $25 Million Claim  If you suffered losses while working with UBS Financial Services (UBS) stockbroker, Jose Manuel Cornide, Jr., you may be able to file a Financial Industry Regulatory Authority (FINRA) arbitration claim for your losses. Cornide,…

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Ex-UBS Broker and IHT Wealth Management Investment Advisor Frederick Kort Accused Of Unsuitable Investment Recommendations Involving Options Overlay Strategy

Pending Allegations Likely Involve UBS YES Strategy  Frederick Maximillian Kort, a former UBS Financial (UBS) broker, is facing allegations that he made misrepresentations when making unsuitable investment recommendations to customers.  According to his BrokerCheck record, there are two pending customer disputes against him,  both involving an options overlay strategy. While…

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Dallas Retiree Accuses UBS Of Unsuitably Recommending YES Strategy

Senior Investor Sues UBS Financial For Losses Caused by Yield Enhancement Strategy  A Texas retiree says UBS’s Yield Enhancement Strategy (“YES”) is to blame for investment losses he suffered over a short time period at the end of 2018.  According to the claim filed with the Financial Industry Regulatory Authority…

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Retiree Couple’s UBS YES Strategy Lawsuit Seeks Up to $1M in Damages and Losses

Claimants Lose Retirement Funds in Complex Options Trading Strategy A retired couple is suing UBS Financial Services (UBS) after they sustained at least $800,000 in losses from investing in the firm’s Yield Enhancement Strategy (YES).  The investors contend that their UBS broker made misrepresentations and omissions when recommending this unsuitable…

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UBS YES Strategy Investors Say They Were Promised Low Risks But Suffered Huge Losses

Investors Claim UBS YES Strategy Was Mismarketed To Them: SEC Looking Into the Allegations If you are an investor whose UBS broker recommended that you employ the UBS YES (Yield Enhancement Strategy) and you’ve since suffered significant losses, you may have grounds for an investment fraud claim.  Unfortunately, UBS and…

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Morgan Stanley Sued for Unsuitable Recommendations Over Harvest Volatility Strategy, MLPs and Other Complex Investments Made To A Texas Investor

Brokerage Firm Made Unsuitable Investment Recommendations to An Inexperienced Investor Our brokerage firm fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) have filed a Financial Industry Regulatory Authority (FINRA) arbitration against Morgan Stanley on behalf of an elderly Dallas, Texas investor. The investor in question sustained over…

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Harvest Volatility Management’s CYES Investments Prove Too Risky For Many Investors During COVID-19

Risks Tied To CYES Strategy Investments Cause More Losses During The Coronavirus For the past year, our CYES Strategy fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) have been working with investors who suffered losses from Collateral Yield Enhancement Strategy (CYES) Investments that were issued by Harvest…

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Coronavirus And Market Drops Likely to Cause More Losses for UBS YES and CYES Strategy Investors

Coronavirus (COVID-19) Update: YES Strategy Is Vulnerable To Losses Now Markets Are Rough The World Health Organization (WHO) has just declared the coronavirus a pandemic, with the United States President Donald Trump announcing a travel ban involving more than two dozen nations. As if these health concerns weren’t bad enough,…

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