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Articles Posted in Stockbrokers In The News

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

If you are reading this Blog, William Word Huthnance probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) 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 probably 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. Huthnance’s UBS-YES investment recommendations.

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Robert Frank Spiegel of Staten Island, New York submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly engaging in excessive and unsuitable trading in violation of FINRA Rules 2111 and 2010.

From October 2014 through November 2018, Robert Frank Spiegel was registered with First Standard Financial as a General Securities Representative. According to the FINRA findings, Robert Frank Spiegel allegedly engaged in quantitatively unsuitable trading in the account of a 70-year-old customer. The FINRA findings stated that the customer followed Mr. Spiegel’s recommendations, giving him de facto authority over the account and while doing so resulted in a high turnover rate of 34 and an annualized cost-to-equity ratio of 113%. In addition to the FINRA findings, the customer paid $18,047 in commissions and fees to Mr. Spiegel and incurred losses of $77,334. Continue Reading

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

If you are reading this Blog, Todd M. Michael Perry probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) 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 probably 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. Perry’s UBS-YES investment recommendations.

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

If you are reading this Blog, Roy K. Tonning probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) 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 probably 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. Tonning’s UBS-YES investment recommendations. This is in addition to a prior claim for sales practice violations that was settled.

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

If you are reading this Blog, Thomas Joseph Livaccari probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) 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 probably 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. Livaccari’s UBS-YES investment recommendations.

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

If you are reading this Blog, Thomas Peter Wallack probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) 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 probably 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. Wallack’s UBS-YES investment recommendations.  This is in addition to a prior claim for alleged sales practice violations that was settled.

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

If you are reading this Blog, Timothy Joseph Croak probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) 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 probably 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. Croak’s UBS-YES investment recommendations.

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

If you are reading this Blog, Simon Alexander Clarke probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) 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 probably 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. Clarke’s UBS-YES investment recommendations.

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

If you are reading this Blog, Robert Charles Mueller probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) 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 probably 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. Mueller’s UBS-YES investment recommendations. This is in addition to three prior claims for alleged sales practice violations that were settled or denied. Continue Reading

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

If you are reading this Blog, Richard Ralph Lafferty probably recommended that you invest in the UBS Yield Enhanced Strategy (“UBS-YES”) 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 probably 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. Lafferty’s UBS-YES investment recommendations.

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