INVESTORS ALERT: Have You Experienced Losses in the UBS YES Program?

Soreide Law Group is currently investigating on behalf of investors who suffered investment losses, the UBS Yield Enhancement Strategy Program (UBS YES Program). UBS offered the YES Program as an option-based trading strategy.  The investors committed a certain amount of their portfolios to this program. UBS allegedly offered these clients a safe and low-risk investment strategy which was designed to increase their portfolios income.
However, recently these investors have experienced substantial losses in the UBS Yield Enhancement Strategy Program. As the investors began to show concern over their losses, some were allegedly asked to add additional funds or face margin deficits. Unfortunately, some investors have reported trouble liquidating their investments from the YES Program and are facing even deeper losses. These option-based strategies allegedly marketed as a way to add income to investors, have caused serious losses to investors.
There is the possibility that these investors were not made aware of the complex and risky strategies involved in option trading even for sophisticated investors by the financial advisors who recommended the UBS YES Program. The UBS YES Program may have been unsuitable for some of the investors, especially if they were not made aware of the risks involved.  The possibility of over-concentration in the UBS YES Program is also a concern for investors. Did the execution of the Yield Enhancement Strategy Program match what was told to the investors?
Risks must always be disclosed in advance to investors. If the risks have not been properly explained to investors and they suffer financial losses they may be able to recover those losses through a FINRA arbitration. Broker/dealers are required to conduct due diligence on investments and to conduct a suitability analysis on their clients, taking into account their portfolio risk tolerance, experience and knowledge.
If you’ve suffered investment losses due to the recommendation of your broker/dealer in the UBS YES Program, contact Soreide Law Group and speak to a securities lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at:888-760-6552.
Soreide Law Group represents clients nationally before FINRA on a contingency fee basis—no fee to you if no recovery.