DKR Recovers More than $1.4 Million for UBS YES Investors |

We are pleased to announce that our Dimond Kaplan & Rothstein, P.A. investment fraud lawyers have won more than $1.4 million in another FINRA arbitration on behalf of a New Mexico couple who lost money in UBS’s Yield Enhancement Strategy (“YES”). This is our latest in a string of victories we have achieved in UBS YES cases. 

YES is a complex options strategy that we alleged UBS marketed as a low-risk way to obtain a modest amount of income. We further alleged that, contrary to UBS’s representations, UBS’s YES investment product exposed our clients to a significant risk of loss, that UBS painted a misleading picture about YES’s purported safety, and that UBS failed to truthfully disclose all risks associated with YES.

Our Dimond Kaplan & Rothstein, P.A. investment fraud lawyers recovered more than $1.4 million for our clients, including every dollar of our clients’ UBS YES investment losses.  Importantly, the FINRA arbitrators also ordered UBS to pay our attorneys’ fees and required UBS to pay all FINRA hearing fees. 

We appreciate the trust and confidence that our clients placed in our law firm to represent them in this dispute. Dimond Kaplan & Rothstein, P.A. investment fraud lawyers 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. #FINRAArbitration #StockbrokerNegligence #InvestmentFraudLawyer #UBSYESlosses #InvestorRightsLawyer #InvestorAdvocate #finralawyer #UBSYES #UBSinvestmentlosses #BrokerageFirmFraud #BrokerageFirmNegligence #BrokerFraud

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 Los AngelesNew YorkDetroitWest Palm BeachNaples, and Miami, 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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Miami Office
Grand Bay Plaza
2665 S. Bayshore Drive
Penthouse 2B
Miami, FL 33133
Telephone: 786.628.8236

Los Angeles Office
Available by Appointment
2029 Century Park East
Century Plaza Tower
Suite 400N
Los Angeles, CA 90067
Telephone: 424.544.7930

New York City Office
Available by Appointment
14 Wall St, 20th Floor
New York, NY 10005
Telephone: 917.382.5217

West Palm Beach Office
Northbridge Centre
515 N. Flagler Drive, Suite P-300
West Palm Beach, FL 33401
Telephone: 561.475.2887

Detroit Office
41000 Woodward Avenue,
Suite 350 East
Bloomfield Hills, Mi 48304
Telephone: 248.368.0182