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The UBS yield enhancement strategy (YES) was not what the firm’s brokers promised. While brokers told their clients that the YES strategy offered a low-risk way to earn stable returns, in fact, it was a high-risk strategy that was doomed for failure. Since the issues with the UBS YES strategy […]

Stock market fraud is a concern for all investors. Whether you invest on your own, through a brokerage firm or with an investment advisor, there is a risk that market manipulation and other fraudulent practices could leave you facing substantial losses. Here are five examples of stock market fraud schemes […]

Stock market fraud is a real concern for individual investors. It can lead to substantial losses, and investors typically will not be able to recover their losses simply by relying on market forces. Instead, they will need to take legal action, and, to do so, they will need to seek […]

For many individual investors, recovering their fraudulent losses involves filing for FINRA arbitration. The Financial Industry Regulatory Authority (FINRA) shares responsibility with the U.S. Securities and Exchange Commission (SEC) for regulating brokers and brokerage firms in the United States, and it provides a forum for investors to pursue fraud claims […]

As Bitcoin and other cryptocurrencies continue to gain mainstream acceptance, more retail investors and investment advisors are putting their money into the digital currency market. Unfortunately, the rise in popularity of cryptocurrency investing has led to a rise in cryptocurrency-related fraud scams as well. As a result, the AARP has […]

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 […]