Lincoln, Nebraska Stockbroker Named In Multiple Six-Figure Options Overlay Claims
A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two claimants over $1M in their UBS Yield Enhancement Strategy (YES) claim against respondent UBS Financial Services (UBS).
Their broker, Jason Mathew Dworak, was not a respondent in the customer dispute. However, according to the FINRA award, the panel did not grant the broker-dealer’s request that the case be expunged from his CRD records. Dworak also is named in other pending options overlay claims involving UBS YES.
The post UBS YES Strategy Customers Of Broker Jason Dworak Awarded Over $1M appeared first on Investor Lawyers Blog.