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Articles Posted in UBS Financial Services

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UBS to Pay More Than $1.1M in Two Yield Enhancement Strategy Cases

FINRA Arbitration Panels Award Damages To UBS YES Claimants Two Financial Industry Regulatory Authority (FINRA) panels have ordered UBS Wealth Management (UBS) to pay investors over $1.1 million for losses they sustained from the firm’s Yield Enhancement Strategy (YES).  This complex options trading strategy that promised investors stable, incremental returns…

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SSEK Law Firm Wins $400K UBS YES FINRA Arbitration Award For Investors

$400K UBS YES FINRA Arbitration Awarded to Investors in Baltimore, Maryland   In one of the first in-person arbitration in the last 18 months, a Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two investors $405K in their UBS Yield Enhancement Strategy claim against UBS Financial (UBS).   Shepherd Smith Edwards…

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UBS Financial Services Settles SEC Charges Over Exchange-Traded Products Compliance Lapses for $8M

Customers Were Allegedly Unsuitably Sold Complex Exchange-Traded Products UBS Financial Services (UBS) has agreed to a censure and will pay an $8M fine in the Securities and Exchange Commission’s (SEC) civil case accusing the brokerage firm of failing to properly supervise its brokers. UBS financial advisors sold complex exchange-traded products…

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