{"id":19702,"date":"2021-04-20T09:04:29","date_gmt":"2021-04-20T14:04:29","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=19702"},"modified":"2021-04-22T09:08:01","modified_gmt":"2021-04-22T14:08:01","slug":"yes-strategy-customers-receive-award","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/yes-strategy-customers-receive-award\/","title":{"rendered":"UBS Ordered To Pay $371K Award to YES Strategy Customers"},"content":{"rendered":"<h2><span style=\"font-weight: 400;\">FINRA Panel\u2019s Ruling is UBS Financial\u2019s Third Loss Involving Yield Enhancement Strategy<\/span><\/h2>\n<p><span style=\"font-weight: 400;\">In a Financial Industry Regulatory Authority (FINRA) arbitration ruling, UBS Financial Services (UBS) must pay an Ohio couple $371K for financial losses they sustained from the brokerage firm\u2019s Yield Enhancement Strategy (YES).\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">This is the third UBS Yes Strategy arbitration claim that the broker-dealer has lost, including one award for $1M to two Denver investors this year. The first award against UBS over its <\/span><a href=\"https:\/\/www.investorlawyers.com\/the-ubs-yield-enhancement-strategy.html\"><span style=\"font-weight: 400;\">Yield Enhancement Strategy<\/span><\/a><span style=\"font-weight: 400;\">, for $90K, was granted to an investor in December.\u00a0<\/span><\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/yes-strategy-customers-receive-award\/\"  title=\"Continue Reading UBS Ordered To Pay $371K Award to YES Strategy Customers\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>FINRA Panel\u2019s Ruling is UBS Financial\u2019s Third Loss Involving Yield Enhancement Strategy In a Financial Industry Regulatory Authority (FINRA) arbitration ruling, UBS Financial Services (UBS) must pay an Ohio couple $371K for financial losses they sustained from the brokerage firm\u2019s Yield Enhancement Strategy (YES).\u00a0 This is the third UBS Yes Strategy arbitration claim that the [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":19703,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3755,3785],"tags":[3176,4150],"class_list":["post-19702","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-ubs","category-yield-enhancement-strategy","tag-ubs-financial-services","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>UBS YES Strategy Customers Awarded $371K | Investor Lawyers<\/title>\n<meta name=\"description\" content=\"UBS has been ordered to pay $371K to its YES Strategy customers after they suffered significant losses. Learn more about Finra&#039;s ruling.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/yes-strategy-customers-receive-award\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"UBS YES Strategy Customers Awarded $371K | Investor Lawyers\" \/>\n<meta name=\"twitter:description\" content=\"UBS has been ordered to pay $371K to its YES Strategy customers after they suffered significant losses. 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Learn more about Finra's ruling.","twitter_image":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/04\/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\/yes-strategy-customers-receive-award\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/yes-strategy-customers-receive-award\/"},"author":{"name":"Shepherd Smith Edwards &amp; Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"UBS Ordered To Pay $371K Award to YES Strategy Customers","datePublished":"2021-04-20T14:04:29+00:00","dateModified":"2021-04-22T14:08:01+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/yes-strategy-customers-receive-award\/"},"wordCount":566,"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/yes-strategy-customers-receive-award\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/04\/claudio-schwarz-purzlbaum-cKVuAEsedoY-unsplash-1.jpg","keywords":["UBS Financial Services","UBS Yield Enhancement Strategy"],"articleSection":["UBS","Yield Enhancement Strategy"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/yes-strategy-customers-receive-award\/","url":"https:\/\/www.investorlawyers.com\/blog\/yes-strategy-customers-receive-award\/","name":"UBS YES Strategy Customers Awarded $371K | Investor Lawyers","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/yes-strategy-customers-receive-award\/#primaryimage"},"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/yes-strategy-customers-receive-award\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/04\/claudio-schwarz-purzlbaum-cKVuAEsedoY-unsplash-1.jpg","datePublished":"2021-04-20T14:04:29+00:00","dateModified":"2021-04-22T14:08:01+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"UBS has been ordered to pay $371K to its YES Strategy customers after they suffered significant losses. 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