{"id":28427,"date":"2022-07-26T16:01:44","date_gmt":"2022-07-26T21:01:44","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=28427"},"modified":"2022-07-29T09:20:34","modified_gmt":"2022-07-29T14:20:34","slug":"ubs-finra-arbitration-settlement","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/ubs-finra-arbitration-settlement\/","title":{"rendered":"UBS To Pay $25M To Settle SEC Charges Involving Its Yield Enhancement Strategy"},"content":{"rendered":"

Firm Accused of Inadequate Training And Poor Supervision of Brokers That Sold YES\u00a0\u00a0<\/span>\u00a0<\/span><\/h2>\n

UBS Financial Services has consented to pay about $25M to settle US Securities and Exchange Commission (SEC) charges related to the firm\u2019s Yield Enhancement Strategy (YES). The regulator contends that the broker-dealer, which marketed and sold $2B of UBS YES to about 600 high-net-worth individual investors between February 2016 and February 2017, allegedly failed to adequately train its financial advisors in and supervise this complex iron condor strategy.\u00a0<\/span><\/p>\n

This purportedly included the firm knowing about\u2014 documenting\u2014the \u201cpossibility of significant risk” but not notifying many of its brokers and clients about this.\u00a0<\/span><\/p>\n

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

Firm Accused of Inadequate Training And Poor Supervision of Brokers That Sold YES\u00a0\u00a0\u00a0 UBS Financial Services has consented to pay about $25M to settle US Securities and Exchange Commission (SEC) charges related to the firm\u2019s Yield Enhancement Strategy (YES). The regulator contends that the broker-dealer, which marketed and sold $2B of UBS YES to about […]<\/p>\n","protected":false},"author":2,"featured_media":28428,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3762,4583],"tags":[4674,4301],"class_list":["post-28427","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-current-investigations","category-ubs-financial-services","tag-ubs-yes","tag-ubs-yes-strategy"],"yoast_head":"\nSSEK Investment Lawyers Pursue Damages Against UBS<\/title>\n<meta name=\"description\" content=\"SSEK lawyers are representing investors in FINRA arbitration against UBS Financial Services. If you are an investor, schedule a free consultation.\" \/>\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\/ubs-finra-arbitration-settlement\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"SSEK Investment Lawyers Pursue Damages Against UBS\" \/>\n<meta name=\"twitter:description\" content=\"SSEK lawyers are representing investors in FINRA arbitration against UBS Financial Services. If you are an investor, schedule a free consultation.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2022\/07\/Investment-lawyers-representing-investors-against-UBS-YES.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards & Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"SSEK Investment Lawyers Pursue Damages Against UBS","description":"SSEK lawyers are representing investors in FINRA arbitration against UBS Financial Services. 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If you are an investor, schedule a free consultation.","twitter_image":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2022\/07\/Investment-lawyers-representing-investors-against-UBS-YES.jpg","twitter_misc":{"Written by":"Shepherd Smith Edwards & Kantas, LLP","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/ubs-finra-arbitration-settlement\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/ubs-finra-arbitration-settlement\/"},"author":{"name":"Shepherd Smith Edwards & Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"UBS To Pay $25M To Settle SEC Charges Involving Its Yield Enhancement Strategy","datePublished":"2022-07-26T21:01:44+00:00","dateModified":"2022-07-29T14:20:34+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/ubs-finra-arbitration-settlement\/"},"wordCount":658,"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/ubs-finra-arbitration-settlement\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2022\/07\/Investment-lawyers-representing-investors-against-UBS-YES.jpg","keywords":["UBS YES","UBS YES Strategy"],"articleSection":["Current Investigations","UBS Financial Services"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/ubs-finra-arbitration-settlement\/","url":"https:\/\/www.investorlawyers.com\/blog\/ubs-finra-arbitration-settlement\/","name":"SSEK Investment Lawyers Pursue Damages Against UBS","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/ubs-finra-arbitration-settlement\/#primaryimage"},"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/ubs-finra-arbitration-settlement\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2022\/07\/Investment-lawyers-representing-investors-against-UBS-YES.jpg","datePublished":"2022-07-26T21:01:44+00:00","dateModified":"2022-07-29T14:20:34+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"SSEK lawyers are representing investors in FINRA arbitration against UBS Financial Services. 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