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What Happens in FINRA Arbitration?

June 25, 2021 Blog

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 […]

The UBS YES Strategy: What Went Wrong

May 7, 2021 Blog

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 […]

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