Dimond Kaplan & Rothstein Wins Another UBS YES Case |

We are pleased to announce that the investor advocate lawyers at Dimond Kaplan & Rothstein, P.A. have won yet another FINRA arbitration against UBS, this time involving a Chicago couple’s investment losses in UBS’s Yield Enhancement Strategy (“YES”). DKR now has recovered investment losses for more than 20 UBS YES investors and our law firm continues to prosecute UBS YES cases for clients throughout the United States.

UBS YES Program Exposed Investors to Significant Risk

YES is a complex options strategy that we alleged UBS marketed as a low-risk way for investors to generate a small amount of income. We further alleged that, although UBS touted YES as having limited risk, the YES options strategy actually exposed investors to significant risk of loss. Our DKR investment fraud lawyers argued that UBS misled investors and failed to disclose all risks associated with the UBS YES options strategy.

DKR’s lawyers introduced compelling evidence that UBS went to great lengths to convince investors that the options positions in YES would provide investors with “downside protection” and only limited exposure to significant downward movements in the stock market. When the stock market experienced a large decline, however, UBS’s YES options strategy suffered an even greater decline than the market, contrary to the representations that UBS had made to YES investors. 

DKR’s team of investment fraud lawyers works diligently to put together strong cases against global banking giants like UBS. Dimond Kaplan & Rothstein, P.A. will continue to vigorously prosecute UBS YES cases for our other clients throughout the United States, who collectively have lost millions of dollars in the UBS YES options strategy.

UBS 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. today. DKR has extensive experience representing UBS 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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Grand Bay Plaza
2665 S. Bayshore Drive
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Miami, FL 33133
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Los Angeles, CA 90067
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Telephone: 248.368.0182