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Wealthy investors have suffered substantial losses with the UBS yield enhancement strategy. While UBS brokers pitched the strategy as a low-risk opportunity for investors to increase their overall returns, it ended up costing investors many investors hundreds of thousands or millions of dollars. Many of these investors are now seeking […]

The U.S. Securities and Exchange Commission (SEC) recently filed charges against a Florida resident and related entities accused of perpetrating a multi-million-dollar Ponzi scheme. The SEC has also obtained a temporary restraining order and asset freeze in order to protect any investor funds that may still be available for recovery. […]

The UBS YES strategy was supposed to offer wealthy investors a way to earn modest returns with limited risk. Instead of promising substantial returns, UBS brokers told investors that they could expect returns somewhere in the range of three to six percent—a modest increase in their returns (or “enhancement” of […]

A former Wells Fargo financial advisor has pleaded guilty to defrauding investors in a $450,000 scheme. Facing up to 20 years in federal prison for wire fraud, the former advisor received a sentence of 27 months from a federal judge. According to news reports, the former advisor defrauded approximately 40 […]

The Financial Industry Regulatory Authority (FINRA) works alongside the U.S. Securities and Exchange Commission (SEC) to regulate the securities markets in the United States, and it routinely issues Investor Alerts warning of risks for individual investors. Recently, FINRA issued an Investor Alert highlighting some of the key risks associated with […]

High-net-worth investors have lost millions of dollars with the UBS yield enhancement strategy (YES). While UBS brokers sold the YES strategy as a stable investment with relatively low risk, the nature of the strategy is such that it leaves investors with little hope of recovering their losses through market forces […]

We are investigating potential legal claims on behalf of investors who were clients of UBS financial advisor Andrew Burish and The Burish Group of Madison, Wisconsin.  Andrew Burish is a 38-year industry veteran at UBS who leads a team with14 advisors and $4 billion in client assets, according to its […]

Margin calls at the overly leveraged Archegos Capital Management – run by former Tiger Asia manager Bill Hwang – over the past week triggered the liquidation of stock positions approaching $30 billion in value.

Investors face no shortage of risks in today’s marketplace. While investing inherently involves risk, investors should not have to worry about losing their money to fraud. Unfortunately, this is a very real concern, and countless investors suffer fraudulent losses each year. The U.S. Securities and Exchange Commission (SEC) has recently […]

Environmental, social and governance (ESG) funds have gained popularity with investors over the past couple of years. These funds target investments based not solely on financial factors, but also on factors such as environmental sustainability, social responsibility, and corporate commitments to ethical and moral practices. While ESG funds are attractive […]