{"id":19217,"date":"2020-09-15T13:53:13","date_gmt":"2020-09-15T18:53:13","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=19217"},"modified":"2020-09-16T13:53:26","modified_gmt":"2020-09-16T18:53:26","slug":"ex-ubs-yes-strategy-broker-unsuitability","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/ex-ubs-yes-strategy-broker-unsuitability\/","title":{"rendered":"Ex-UBS Broker and IHT Wealth Management Investment Advisor Frederick Kort Accused Of Unsuitable Investment Recommendations Involving Options Overlay Strategy"},"content":{"rendered":"<h2><span style=\"font-weight: 400;\">Pending Allegations Likely Involve UBS YES Strategy\u00a0<\/span><\/h2>\n<p><span style=\"font-weight: 400;\">Frederick Maximillian Kort, a former UBS Financial (UBS) broker, is facing allegations that he made misrepresentations when making unsuitable investment recommendations to customers.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">According to his <\/span><a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/5376727\"><span style=\"font-weight: 400;\">BrokerCheck record<\/span><\/a><span style=\"font-weight: 400;\">, there are two pending customer disputes against him,\u00a0 both involving an options overlay strategy. While the disclosure does not specifically state so, this is likely <\/span><a href=\"https:\/\/www.investorlawyers.com\/the-ubs-yield-enhancement-strategy.html\"><span style=\"font-weight: 400;\">UBS\u2019s Yield Enhancement Strategy<\/span><\/a><span style=\"font-weight: 400;\">, in which many of the firm\u2019s registered representatives have come under fire for selling to investors.\u00a0<\/span><\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/ex-ubs-yes-strategy-broker-unsuitability\/\"  title=\"Continue Reading Ex-UBS Broker and IHT Wealth Management Investment Advisor Frederick Kort Accused Of Unsuitable Investment Recommendations Involving Options Overlay Strategy\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Pending Allegations Likely Involve UBS YES Strategy\u00a0 Frederick Maximillian Kort, a former UBS Financial (UBS) broker, is facing allegations that he made misrepresentations when making unsuitable investment recommendations to customers.\u00a0 According to his BrokerCheck record, there are two pending customer disputes against him,\u00a0 both involving an options overlay strategy. While the disclosure does not specifically [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":19218,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[4043,3755,3785],"tags":[3000,4301,4150],"class_list":["post-19217","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-alternative-investments","category-ubs","category-yield-enhancement-strategy","tag-ubs","tag-ubs-yes-strategy","tag-ubs-yield-enhancement-strategy"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Ex-UBS YES Strategy Broker Accused Of Unsuitability | Investor Fraud<\/title>\n<meta name=\"description\" content=\"An ex-UBS broker has been accused of unsuitably recommending an options overlay strategy believed to be UBS YES Strategy to investors. 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Read more.","twitter_image":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2020\/09\/claudio-schwarz-purzlbaum-cKVuAEsedoY-unsplash-1.jpg","twitter_misc":{"Written by":"Shepherd Smith Edwards &amp; Kantas, LLP","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/ex-ubs-yes-strategy-broker-unsuitability\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/ex-ubs-yes-strategy-broker-unsuitability\/"},"author":{"name":"Shepherd Smith Edwards &amp; Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"Ex-UBS Broker and IHT Wealth Management Investment Advisor Frederick Kort Accused Of Unsuitable Investment Recommendations Involving Options Overlay Strategy","datePublished":"2020-09-15T18:53:13+00:00","dateModified":"2020-09-16T18:53:26+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/ex-ubs-yes-strategy-broker-unsuitability\/"},"wordCount":586,"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/ex-ubs-yes-strategy-broker-unsuitability\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2020\/09\/claudio-schwarz-purzlbaum-cKVuAEsedoY-unsplash-1.jpg","keywords":["UBS","UBS YES Strategy","UBS Yield Enhancement Strategy"],"articleSection":["Alternative Investments","UBS","Yield Enhancement Strategy"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/ex-ubs-yes-strategy-broker-unsuitability\/","url":"https:\/\/www.investorlawyers.com\/blog\/ex-ubs-yes-strategy-broker-unsuitability\/","name":"Ex-UBS YES Strategy Broker Accused Of Unsuitability | Investor Fraud","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/ex-ubs-yes-strategy-broker-unsuitability\/#primaryimage"},"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/ex-ubs-yes-strategy-broker-unsuitability\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2020\/09\/claudio-schwarz-purzlbaum-cKVuAEsedoY-unsplash-1.jpg","datePublished":"2020-09-15T18:53:13+00:00","dateModified":"2020-09-16T18:53:26+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"An ex-UBS broker has been accused of unsuitably recommending an options overlay strategy believed to be UBS YES Strategy to investors. 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