UBS YES INVESTORS: Dimond Kaplan & Rothstein, P.A. Files Another FINRA Arbitration Claim to Recover UBS Yield Enhancement Strategy Losses

Monday, 06. July 2020 18:48

MIAMI and LOS ANGELES, July 06, 2020 (GLOBE NEWSWIRE) -- National investor advocate law firm Dimond Kaplan & Rothstein, P.A. (DKR) ( has filed another FINRA arbitration claim against UBS Financial Services, Inc. (“UBS”) on behalf of investors who lost nearly $1 million in the UBS Yield Enhancement Strategy (YES) option strategy. UBS is a subsidiary of UBS Group A.G. (NYSE: UBS). The recently filed FINRA arbitration claim alleges, among other things, that UBS failed to adequately disclose the risks of its YES strategy and that UBS did not trade its options.

UBS YES Represented that YES was a Low-Risk Investment

UBS represented that YES would generate incremental income by buying and selling combinations of put and call options on the S&P 500 Index. UBS further represented that the strategy would be “non-directional” and would have limited risk. Notwithstanding, YES made “directional” bets on the S&P 500 Index and was far more risky than investors were led to believe. YES investors have lost up to 33% since market volatility increased in December 2018 and continuing through March 2020. Total YES investor losses are expected be more than $1 billion.

YES Loss Recovery Through FINRA Arbitration

YES investors can file FINRA arbitration claims to recover their losses. FINRA arbitration is private dispute resolution process that generally is cost and time efficient than a court proceeding.

If you lost money in the UBS YES option strategy contact Dimond Kaplan & Rothstein, P.A. DKR represents many YES investors throughout the United States and has extensive experience representing investors who have lost money in risky option strategies. With offices in Miami, Los Angeles, West Palm Beach, and New York, DKR represents investors nationwide and throughout Latin America in brokerage firm misconduct and stockbroker negligence cases.

Jeffrey B. Kaplan, Esq.
2665 S. Bayshore Drive 
Penthouse 2B
Miami, Florida 33133
(888) 578-6255

2029 Century Park East
Century Plaza Tower
Suite 400N
Los Angeles, CA 90067
(888) 578-6255

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