UBS YES Investors Win $4 Million FINRA Arbitration Claim

UBS YES Investors Win $4 Million FINRA Arbitration Claim

Dimond Kaplan & Rothstein, P.A. announces that a FINRA arbitration panel has ordered UBS Financial Services, Inc. (“UBS”) to pay approximately $4 million to an investor who lost nearly $3 million in UBS’s Yield Enhancement Strategy (“YES”). UBS is a subsidiary of UBS Group A.G. (NYSE: UBS). The award includes $1 million in attorneys’ fees. This is the latest in a string of FINRA arbitration victories that investors have won against UBS in YES cases.

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