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Losses on UBS Yield Enhancement Strategy? (UBS YES)- How to Recover Damages

February 2020

Investors who have suffered losses as a result of investing in the UBS Yield Enhancement Strategy program (UBS YES Trading Program) may be able to recover damages through FINRA arbitration.

The Yield Enhancement Strategy was offered by UBS to high net worth investors and touted as an option based trading strategy designed to generate returns by the sale and purchase of SPX index option spreads.

Investors in the UBS YES trading program have experienced significant losses and may have faced margin calls or the requirement to put up additional collateral.

We are currently investigating whether the risks associated with investing in the UBS YES program were adequately disclosed and whether the recommendation to invest in the program was suitable for certain investors. In most cases the recommendation to invest in the UBS YES program was unsuitable for investors with an investment objective of income or if the investor had a risk tolerance of low to moderate.

UBS Broker Matthew Buschsbaum

According to publicly available records, UBS financial advisor Matthew S. Buchsbaum, discloses 19 pending and 3 prior customer disputes, most of which allege unsuitability and misrepresentation to invest in an options overlay strategy. Total damages alleged in these pending claims in many millions, including two claims for $10 million each.

UBS Broker Scott M. Rosenberg

According to publicly available records UBS financial advisor Scott M. Rosenberg discloses 11 pending and 4 prior customer disputes alleging unsuitability and misrepresentations in connection with recommendations to invest in an option overlay strategy. Alleged damages are in the many millions.

If you have losses on the UBS YES trading program and believe that the risks were not adequately disclosed to you or that the recommendation was not suitable for your investment objectives, call for a no obligation discussion of your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870