Articles Posted in Investors Rights & Alerts

How Do You Recover Your “UBS-YES” Investment Losses?

If you are reading this Blog, Eric Andrew Wittenberg probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) and lost 20-40% of your original investment in what was supposed to be a “market neutral” investment strategy. Despite your UBS Financial Services, Inc. (“UBS”) stockbroker’s representations about the UBS-YES managers ability to “manage risk” and “minimize losses” through its “iron condor” option strategy you still realized substantial losses. You are not alone because that is just what many other UBS-YES investors have told us about the pitch made to them to invest in the UBS-YES program and their recent experience.

In fact, according to FINRA’s BrokerCheck website two (2) investors have filed arbitration claims against UBS for its own misrepresentations about and/or mismanagement of the program and/or Mr. Wittenberg’s UBS-YES investment recommendations. This is in addition to two prior claims for alleged sales practice violations that were denied and withdrawn. Continue Reading

How Do You Recover Your “UBS-YES” Investment Losses?

If you are reading this Blog, Edwin Earle Nowlin, Jr. probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) and lost 20-40% of your original investment in what was supposed to be a “market neutral” investment strategy. Despite your UBS Financial Services, Inc. (“UBS”) stockbroker’s representations about the UBS-YES managers ability to “manage risk” and “minimize losses” through its “iron condor” option strategy you still realized substantial losses. You are not alone because that is just what many other UBS-YES investors have told us about the pitch made to them to invest in the UBS-YES program and their recent experience.

In fact, according to FINRA’s BrokerCheck website two (2) investors have filed arbitration claims against UBS for its own misrepresentations about and/or mismanagement of the program and/or Mr. Nowlin’s UBS-YES investment recommendations. This is in addition to two prior claims for alleged sales practice violations that were settled. Continue Reading

The SEC and FINRA are finally stepping up to regulate nontraditional ETFs and ETNs and to ensure that these complicated products are not sold to unsophisticated investors.

Citigroup Global Markets Inc., Morgan Stanley, UBS Financial Services Inc. and Wells Fargo agreed to pay $9.1 million to settle allegations that they sold leveraged and inverse exchange-traded funds to clients who had no business investing in the complex instruments. Continue Reading

How Do You Recover Your “UBS-YES” Investment Losses?

If you are reading this Blog, Donald J. Dever probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) and lost 20-40% of your original investment in what was supposed to be a “market neutral” investment strategy. Despite your UBS Financial Services, Inc. (“UBS”) stockbroker’s representations about the UBS-YES managers ability to “manage risk” and “minimize losses” through its “iron condor” option strategy you still realized substantial losses. You are not alone because that is just what many other UBS-YES investors have told us about the pitch made to them to invest in the UBS-YES program and their recent experience.

In fact, according to FINRA’s BrokerCheck website one investor has filed arbitration claims against UBS for its own misrepresentations about and/or mismanagement of the program and/or Mr. Dever’s UBS-YES investment recommendations. This is in addition to a prior claim for alleged unauthorized trading that was settled. Continue Reading

How Do You Recover Your “UBS-YES” Investment Losses?

If you are reading this Blog, David Youngblood Moran probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) and lost 20-40% of your original investment in what was supposed to be a “market neutral” investment strategy. Despite your UBS Financial Services, Inc. (“UBS”) stockbroker’s representations about the UBS-YES managers ability to “manage risk” and “minimize losses” through its “iron condor” option strategy you still realized substantial losses. You are not alone because that is just what many other UBS-YES investors have told us about the pitch made to them to invest in the UBS-YES program and their recent experience.

In fact, according to FINRA’s BrokerCheck website three (3) investors have filed arbitration claims against UBS for its own misrepresentations about and/or mismanagement of the program and/or Mr. Moran’s UBS-YES investment recommendations. Continue Reading

Investor advocates are saying that more should be done to protect retail investors in Exchange-Traded Notes (ETNs). There is growing concern that with the rising popularity of ETNs, investors and financial advisers are getting into these products without fully understanding them or the risks involved.

ETN’s are bank-issued debt securities. They were first brought to market six years ago to allow sophisticated investors to place bets on different parts of the market. Recently, however, retail investors have also started trading ETNs to gain access to certain market segments, such as those involving gold, silver, or natural gas. ETN offerings have grown in number over the past few years, with 212 ETNs now found on exchanges. Continue Reading

How Do You Recover Your “UBS-YES” Investment Losses?

If you are reading this Blog, Christopher Wayne Tolman probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) and lost 20-40% of your original investment in what was supposed to be a “market neutral” investment strategy. Despite your UBS Financial Services, Inc. (“UBS”) stockbroker’s representations about the UBS-YES managers ability to “manage risk” and “minimize losses” through its “iron condor” option strategy you still realized substantial losses. You are not alone because that is just what many other UBS-YES investors have told us about the pitch made to them to invest in the UBS-YES program and their recent experience.

In fact, according to FINRA’s BrokerCheck website two investors have filed arbitration claims against UBS for its own misrepresentations about and/or mismanagement of the program and/or Mr. Tolman’s  UBS-YES investment recommendations. These red flags are in addition to an actions taken by the Texas securities regulator and an employment termination reported on BrokerCheck. Continue Reading

How Do You Recover Your “UBS-YES” Investment Losses?

If you are reading this Blog, Christopher Charles Aitken probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) and lost 20-40% of your original investment in what was supposed to be a “market neutral” investment strategy. Despite your UBS Financial Services, Inc. (“UBS”) stockbroker’s representations about the UBS-YES managers ability to “manage risk” and “minimize losses” through its “iron condor” option strategy you still realized substantial losses. You are not alone because that is just what many other UBS-YES investors have told us about the pitch made to them to invest in the UBS-YES program and their recent experience.

In fact, according to FINRA’s BrokerCheck website one investor has filed an arbitration claim against UBS for its own misrepresentations about and/or mismanagement of the program and/or Mr. Aitken’s UBS-YES investment recommendations. Continue Reading

How Do You Recover Your “UBS-YES” Investment Losses?

If you are reading this Blog, Brian Andrew Blackburn probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) and lost 20-40% of your original investment in what was supposed to be a “market neutral” investment strategy. Despite your UBS Financial Services, Inc. (“UBS”) stockbroker’s representations about the UBS-YES managers ability to “manage risk” and “minimize losses” through its “iron condor” option strategy you still realized substantial losses. You are not alone because that is just what many other UBS-YES investors have told us about the pitch made to them to invest in the UBS-YES program and their recent experience.

In fact, according to FINRA’s BrokerCheck website one investor has filed arbitration claims against UBS for its own misrepresentations about and/or mismanagement of the program and/or Mr. Blackburn’s UBS-YES investment recommendations. Continue Reading

How Do You Recover Your “UBS-YES” Investment Losses?

If you are reading this Blog, Brent Lane probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) and lost 20-40% of your original investment in what was supposed to be a “market neutral” investment strategy. Despite your UBS Financial Services, Inc. (“UBS”) stockbroker’s representations about the UBS-YES managers ability to “manage risk” and “minimize losses” through its “iron condor” option strategy you still realized substantial losses. You are not alone because that is just what many other UBS-YES investors have told us about the pitch made to them to invest in the UBS-YES program and their recent experience.

In fact, according to FINRA’s BrokerCheck website one investor has filed an arbitration claim against UBS for its own misrepresentations about and/or mismanagement of the program and/or Mr. Lane’s UBS-YES investment recommendations. Continue Reading

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