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The Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC) regularly issue alerts warning of investment scams targeting seniors. Sadly, unscrupulous brokers, advisors and scam artists tend to target those who are most vulnerable, and this includes senior citizens who might not necessarily have the tools […]

Microcap investing has seen a surge in popularity over the past year. This is likely attributable to the combination of two factors: (i) the introduction of investing apps marketed to individuals who are interested in testing the waters of investing on their own, and (ii) the COVID-19 pandemic, which has […]

You invested your money, but your investment didn’t pan out. Maybe you lost your principal, or maybe you built up a sizable portfolio only to watch it come crashing down. Regardless, you’ve lost a lot, and you are wondering: Are you a victim of bad luck? Or, could you be […]

On December 1, 2020, the U.S. Securities and Exchange Commission (SEC) announced charges against an individual in New York who is accused of running a fraudulent boiler room targeting retail investors. According to the SEC’s press release, the individual, “raised approximately $2.1 million from at least 71 retail investors and […]

Whether it is your New Year’s resolution to start investing or you are hoping to grow your existing portfolio in 2021, it is important to make sure that you invest safely. With this in mind, here are five tips from our investment fraud attorneys  for individuals who are planning to […]

As we close the books on a year unlike any other, there is at least some cause for optimism in 2021. But, for investors, the lessons learned in 2020 should serve as warnings that it is more important now than ever to be wary of the risk of investment fraud. […]

When you invest in the stock market, you know there is a possibility that you could lose your principal. But, you expect any losses to result from market factors, not from fraud. Unfortunately, fraud is a very real concern for individual investors; and, in many cases, investors can seek to […]

The UBS YES strategy was like so many investment opportunities that appear too good to be true. While it promised stable returns and little risk—at least as portrayed by UBS—in the end, investors were left facing substantial losses and wondering where it all went wrong. How and Why the UBS […]

The UBS YES strategy was supposed to be a boon for wealthy investors. The brokerage firm touted its “yield enhancement strategy” as a way for its customers to earn reliable income with relatively low risk. As UBS explained the strategy in its sales pitches and marketing materials, it offered a […]

If you are like many of the wealthy individuals who invested in UBS’ yield enhancement strategy (YES), your investment in the strategy yielded substantial losses. The market plunge at the end of 2018 came first, and then the COVID-19 pandemic crashed the securities market again in 2020. In between, various […]