Skip to Content

UBS Enters Into $25 Million Settlement with SEC Related to Yield Enhancement Strategy (YES) Fraud Allegations

June 30, 2022 Blog

The U.S. Securities and Exchange Commission (SEC) has announced a landmark settlement with UBS Financial Services Inc. related to the firm’s Yield Enhancement Strategy (YES). According to the SEC, UBS “has agreed to pay approximately $25 million to settle fraud charges relating to a complex investment strategy referred to as […]

7 Common Investors Claims in FINRA Arbitration in 2022

June 28, 2022 Blog

Each year we represent dozens of investors who have suffered fraudulent losses in FINRA arbitration. The Financial Industry Regulatory Authority (FINRA) regulates securities brokers and brokerage firms, and FINRA arbitration provides a streamlined forum for defrauded investors to pursue claims for recovery. Now that we’re halfway through the year, here […]

Client Reviews

“Jake Zamasky and his colleagues represented me in a FINRA arbitration case against a large multinational bank and succeeded in obtaining an award for the full amount of my investment losses. I would highly recommend the Zamansky firm for their experience in securities litigation, their level of detailed research and case preparation, and their ability to effectively fight for what’s right.”

Richard R.

“Throughout my entire case, Jake Zamansky was incredibly responsive and spent time walking me through each step of the process. He is professional and worked with my challenging schedule, even meeting with me nights and on weekends. He knew exactly which turn to take when it came to my case and yet was respectful of any decisions I wanted to make resulting in a positive outcome.”

Donald A.

“Jake Zamansky and his firm represented me in a FINRA arbitration case to recover investment losses. Jake and his team were very professional and worked very hard preparing for trial and then reaching a substantial settlement of our case. I would highly recommend them.”

William E.

“Jake Zamansky represented me in a FINRA arbitration case which allowed me to recover a substantial portion of investment losses. He is truly an expert in this space and I would highly recommend him to those investors who may have been been a victim of investment fraud.”

Chris K.

“Jake and his team did a great job communicating with me throughout the process of my lawsuit. I would recommend him to anyone looking to sue UBS for unethical practices.”

Mike A.
View More