NOTICE TO UBS CUSTOMERS WITH YIELD ENHANCEMENT STRATEGY ACCOUNTS: Klayman & Toskes, P.A. Continues to Investigate on Behalf of Investors Who Sustained Losses from the YES program
UBS Group AG Registered Ordinary Shares (UBS)
US:NYSE Investor Relations:
ubs.com/global/en/about_ubs/investor_relations.html
Company Research
Source: Business Wire
BOCA RATON, Fla.--(BUSINESS WIRE)-- The Securities Arbitration Law Firm of Klayman & Toskes, P.A., www.nasd-law.com, continues its investigation into the Yield Enhancement Strategy (“YES”) recommended by UBS (NYSE: UBS) to its customers. The investigation focuses on the firms’ sales practices in connection with the recommendation of the high-risk YES program for customers who sought conservative investments. High net-worth investors seeking conservative investments to preserve their principal were encouraged to participate in the YES program and were told it was a low-risk strategy to generate additional income. The YES program required investors to set aside a mandate, often around $3 million, in order to participate in the program, and were charged a 1.75% fee of the mandate for their participation. The YES program utilized an options strategy, known as the Iron Condor, which created the appear
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UBS
Sec Filings
- 4/16/24 - Form 6-K
- 4/2/24 - Form IRANNOTICE
- 3/28/24 - Form 6-K
- UBS's page on the SEC website