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It’s Not Too Late to Recover Your UBS Yield Enhancement Strategy Losses

November 30, 2020 Blog

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 fluctuations tipped the market slightly too far one way or another, and YES investors lost the money that UBS told them to invest confidently for reliable returns.

For investors who experienced losses investing in the UBS yield enhancement strategy, FINRA arbitration provides an opportunity to recover their losses. FINRA arbitration is a forum for resolving claims of investor fraud, and our investigations to date have revealed that UBS and its brokers did in fact defraud investors when convincing them to purchase YES investments. Our lawyers have already represented many wealthy investors in claims against UBS pertaining to UBS losses, and we are continuing to file new cases heading into the New Year.

UBS Investors Have Six Years to File Claims in FINRA Arbitration

Crucially, the statute of limitations for seeking relief in FINRA arbitration is six years from the date of the fraudulent loss. This means that investors who lost money with UBS in 2018 still have plenty of time to file. In fact, as UBS’ offering of its yield enhancement strategy product only dates back to 2015, all investors who have lost money with UBS YES investments are still eligible to file FINRA arbitration claims.

Of course, while you might have several years left before the statute of limitations for your YES fraud claim expires, waiting will only serve to delay your recovery.

The evidence our attorneys have uncovered to date establishes a clear pattern of deception by UBS and its investment brokers and advisors. Specifically, we have talked to investors and reviewed materials which indicate that UBS touted the potential returns of its YES product without disclosing its substantial downside potential. As an “iron condor” investment involving the purchase of multiple naked options with strike prices both above and below a middle ground of low volatility (with the goal of allowing the options to expire and collecting an option premium), investors risk losing their entire principal if the market shifts significantly in either direction.

In other words, UBS’ yield enhancement strategy relies on market stability—something we have not seen in recent years, and something which UBS knew was not in the cards. Yet, it aggressively sold its YES product to wealthy investors anyway, knowing that the sales would generate fees regardless of how its customers’ portfolios performed.

Can You Recover Your UBS Yield Enhancement Strategy Losses?

If you have suffered substantial losses with UBS’ yield enhancement strategy, we encourage you to speak with one of our lawyers about filing a claim against UBS. To find out if you may be able to recover your losses through FINRA arbitration, please call 212-742-1414 or contact us online today.

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.
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