{"id":26700,"date":"2022-04-15T14:54:16","date_gmt":"2022-04-15T19:54:16","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=26700"},"modified":"2022-04-18T14:57:01","modified_gmt":"2022-04-18T19:57:01","slug":"ubs-yes-investors-allege-misrepresentation","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/ubs-yes-investors-allege-misrepresentation\/","title":{"rendered":"UBS Financial Services To Pay YES Investors Almost $1.2M"},"content":{"rendered":"

YES Claimants\u2019 FINRA Arbitration Case Alleged Misrepresentations and Negligence<\/span><\/h2>\n

A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two investors $1.2M (plus 6% interest from June 28, 2019, through March 7, 2022) over losses they sustained in the <\/span>UBS Yield Enhancement Strategy<\/span><\/a> (UBS YES). This options overlay strategy, also known as the iron condor strategy, is exclusive to UBS.\u00a0<\/span><\/p>\n

The claimants contend that UBS YES was misrepresented and not in line with their investment goals and risk tolerance level. They accused the broker-dealer of fraud, negligence, breach of fiduciary duty, unsuitability, and other violations.\u00a0<\/span><\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

YES Claimants\u2019 FINRA Arbitration Case Alleged Misrepresentations and Negligence A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two investors $1.2M (plus 6% interest from June 28, 2019, through March 7, 2022) over losses they sustained in the UBS Yield Enhancement Strategy (UBS YES). This options overlay strategy, also known as the iron condor […]<\/p>\n","protected":false},"author":2,"featured_media":26701,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3755,4583,3785],"tags":[3176,4674,4150],"class_list":["post-26700","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-ubs","category-ubs-financial-services","category-yield-enhancement-strategy","tag-ubs-financial-services","tag-ubs-yes","tag-ubs-yield-enhancement-strategy"],"yoast_head":"\nUBS YES Investors To Be Paid Almost $1.2M in Damages<\/title>\n<meta name=\"description\" content=\"UBS Financial Services must pay UBS YES investors up to $1.2M in damages after they were suitably recommended the options overlay strategy.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" 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