FINRA Panel’s Ruling is UBS Financial’s Third Loss Involving Yield Enhancement Strategy
In a Financial Industry Regulatory Authority (FINRA) arbitration ruling, UBS Financial Services (UBS) must pay an Ohio couple $371K for financial losses they sustained from the brokerage firm’s Yield Enhancement Strategy (YES).
This is the third UBS Yes Strategy arbitration claim that the broker-dealer has lost, including one award for $1M to two Denver investors this year. The first award against UBS over its Yield Enhancement Strategy, for $90K, was granted to an investor in December.
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