Arbitration, Investors, Private Placements

UBS YES Losses?

UBS customers who have lost money in the UBS Yield Enhancement Strategy (UBS YES), may be able to recover losses by filing an arbitration claim against the firm with FINRA.

UBS YES involved investing in options with a complex series of put and call spreads with the same expiration date and different strike prices with a strategy called an “iron condor”.

UBS marketed its Yield Enhancement Strategy as a safe way for investors to increase return on their money at a time when interest rates were low. Unfortunately, it was quite risky, the risk may not have been adequately disclosed, and some investors lost a lot of money.

For more information, and to discuss a potential claim call Sallah Astarita & Cox, LLC at 212-509-6544. The firm represents investors and financial professionals across the country and has represented parties in over 700 arbitrations.