Third Yield Enhancement Strategy Investors Award for Seasoned Securities Fraud Law Firm Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) is thrilled to announce that on September 1, 2022, a Financial Industry Regulatory Authority (FINRA) arbitration panel ordered UBS Financial Services (UBS) to pay $468,126 to two customers…
Investors Allege Unsuitability and Misrepresentations Our UBS Yield Enhancement Strategy (UBS YES) investment loss attorneys are speaking with customers of UBS Financial Services broker William Word Huthnance in Houston, Texas. Huthnance, who has worked for 20 years in the industry, is accused of allegedly unsuitably recommending the firm’s risky iron…
Two FINRA Arbitration Panels Order Firm To Pay UBS YES Customers for Their Losses In separate UBS Yield Enhancement Strategy (UBS YES) investor cases, two Financial Industry Regulatory Authority (FINRA) arbitration panels have awarded UBS Financial Services customers $1.18M and $1.4M, respectively. These are the latest awards against the broker-dealer,…
YES Claimants’ FINRA Arbitration Case Alleged Misrepresentations and Negligence A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two investors $1.2M (plus 6% interest from June 28, 2019, through March 7, 2022) over losses they sustained in the UBS Yield Enhancement Strategy (UBS YES). This options overlay strategy, also…
UBS Financial Broker Runs The Burish Group in the Midwest If you are an investor who suffered losses while working with UBS broker Andrew Burish, please contact our broker fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com). Burish is considered a top UBS financial advisor…
FINRA Panel’s Ruling is UBS Financial’s Third Loss Involving Yield Enhancement Strategy In a Financial Industry Regulatory Authority (FINRA) arbitration ruling, UBS Financial Services (UBS) must pay an Ohio couple $371K for financial losses they sustained from the brokerage firm’s Yield Enhancement Strategy (YES). This is the third UBS Yes…
Florida Arbitration Panel Refuses To Expunge Advisors’ Record of Options Overlay Case In December, a Financial Industry Regulatory Authority (FINRA) arbitration panel in Boca Raton, Florida awarded a UBS Wealth management client and retiree $89,675 in his UBS Yield Enhancement Strategy (YES) claim over significant losses he sustained in the…
Lincoln, Nebraska Stockbroker Named In Multiple Six-Figure Options Overlay Claims A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two claimants over $1M in their UBS Yield Enhancement Strategy (YES) claim against respondent UBS Financial Services (UBS). Their broker, Jason Mathew Dworak, was not a respondent in the customer…
High Net Worth Individual Investor Alleges That UBS Group AG Persuaded Him To Buy On Margin Guo Wengui, a rich Chinese businessman exiled in New York, has filed a lawsuit against UBS Financial Group after losing $500M. Wengui contends that the bank pressured him into borrowing funds to invest in…
New York Stockbroker and Investment Advisor is Accused of Misrepresentations and Unsuitability Eric Andrew Wittenberg, a managing director and private wealth advisor at UBS Group AG (UBS) in the New York metropolitan area, is being blamed by a number of the firm’s customers for investment losses they suffered after he…