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.

UBS YES Program Exposed Investors to Significant Risk

Beginning in 2016, UBS marketed its YES options strategy to high-net-worth investors as a way to generate a modest amount of income with minimal risk of loss. But YES actually was a risky, complex options strategy that exposed investors to significant risk of loss. 

UBS claimed that its YES program involved buying and selling combinations of puts and calls on the S&P 500 Index in a way that would limit the risk of loss. UBS touted its YES strategy as non-directional and involving “downside protection” as a central feature. Notwithstanding UBS’s representations, investors have proven that YES made “directional” bets on the stock market and exposed YES investors to far more risk of loss than investors were led to believe. 

YES Loss Recovery Through FINRA Arbitration

Dimond Kaplan & Rothstein has successfully recovered millions of dollars for UBS YES investors. If you lost money in the UBS YES options strategy, you can file a FINRA arbitration claim in an effort to recover your losses. 

If you lost money in the UBS YES options strategy, contact Dimond Kaplan & Rothstein, P.A. DKR has extensive experience representing YES investors to recover YES investment losses. With offices in MiamiLos AngelesWest Palm BeachNew York, and Naples, Dimond Kaplan & Rothstein, P.A. represents investors throughout the United States, Mexico, and Latin America in stockbroker negligence and brokerage firm misconduct cases. 

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