Investor Lawyers Blog

Trusts of Late Investor Awarded $1.875M in UBS YES Case

Published on: March 8, 2022 | by Shepherd Smith Edwards & Kantas, LLP

FINRA Arbitration Ruling Grants Largest UBS YES Award to Date A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded a deceased investor’s family trusts $1.857M in their securities case against UBS Financial. The broker-dealer had involved the late Irving Siegel’s QTIP Trust and generation-skipping transfer trust in its UBS Yield Enhancement Strategy. This is […]

UBS YES Clients of Broker William Cerf Want $16.5M in Damages

Published on: January 18, 2022 | by Shepherd Smith Edwards & Kantas, LLP

UBS Financial Services is Also a Defendant in New Class Action Lawsuit If you are a UBS Financial Services customer who invested in the firm’s Yield Enhancement Strategy (UBS YES) at the recommendation of New York financial advisor, William Montgomery Cerf, you are not alone. According to BrokerCheck, William Cerf is named in six pending […]

Customers of UBS Broker Roderick Von Lipsey Report UBS YES Losses

Published on: January 7, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Claimants Are Seeking Over $4M in Damages Over UBS YES Strategy If you suffered investment losses while working with UBS Financial Services broker and investment advisor Roderick K. Von Lipsey, you may have grounds for filing a FINRA arbitration claim to recover damages. In the last 2.5 years, between September 2019 and January 2022, the […]

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

Published on: August 26, 2021 | by Shepherd Smith Edwards & Kantas, LLP

$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 and Kantas (SSEK Law Firm […]

Customer of UBS Broker Andrew Burish Seeks $23M Over Tesla Stock Losses

Published on: May 10, 2021 | by Shepherd Smith Edwards & Kantas, LLP

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 who is head of The […]

UBS Ordered To Pay $371K Award to YES Strategy Customers

Published on: April 20, 2021 | by Shepherd Smith Edwards & Kantas, LLP

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 Strategy arbitration claim that the […]

Customer Of UBS Brokers Mark Zeller and Scott Rosenberg Awarded Nearly $90K Over YES Strategy Losses

Published on: March 16, 2021 | by Shepherd Smith Edwards & Kantas, LLP

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 brokerage firm’s options overlay strategy. […]

UBS YES Strategy Customers Of Broker Jason Dworak Awarded Over $1M

Published on: March 10, 2021 | by Shepherd Smith Edwards & Kantas, LLP

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 dispute. However, according to the […]

Chinese Tycoon Sues UBS for $500M Over Losses Involving Margin Loan

Published on: November 11, 2020 | by Shepherd Smith Edwards & Kantas, LLP

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 shares of Haitong Securities, Co., […]

UBS YES Strategy Customers of Broker Eric Wittenberg Are Seeking at Least $1.8M in Damages

Published on: November 5, 2020 | by Shepherd Smith Edwards & Kantas, LLP

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 recommended the UBS Yield Enhancement […]