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  • ABOUT
  • ATTORNEYS
    • Bruce Lewitas
    • Douglas W. Hyman
    • Daniel Hildebrand
  • FINANCIAL PROFESSIONALS
    • Broker Protocol FAQs
    • CFP Board Investigations
    • Employment Counsel
    • Expungement Claims
    • FINRA, SEC and State Regulatory Investigations
    • FINRA Rule 8210 FAQs
    • Firm Transitions
    • Form U5 Claims FAQs
    • Partnership Disputes
    • Promissory and Forgivable Notes
    • Wrongful Discharge
  • FINANCIAL INSTITUTIONS
    • Financial Services Arbitration and Litigation
    • Regulatory Counseling and Investigations
    • RIA Formation and Compliance Counsel
    • Securities and Commercial Litigation
  • INVESTORS
    • Breach of Fiduciary and Other Duties
    • Financial Advisor Misconduct
    • Investment Loss FAQs
    • Retirement Planning Negligence
    • Securities and Investment Fraud
    • Unauthorized Trading
  • BLOG
  • CONTACT

Claims Against UBS Yield Enhancement Strategy (YES) Continuing to Accelerate

On Behalf of Lewitas Hyman PC | May 15, 2020 | Financial Advisor Misconduct, Financial News

As losses have continued to mount for investors, claims against UBS are accelerating. Recent reporting indicates that investment losses from the Yield Enhancement Strategy (YES) could exceed $1 billion as investors pursue legal action against the wealth management...

Listen Up Financial Advisors – The Cover-Up Is Always Worse Than The Crime

On Behalf of Lewitas Hyman PC | May 12, 2020 | Regulatory Investigations

Every year, surveillance tools become increasingly sophisticated. As such, now more than ever, financial advisors are regularly flagged for potential violations of firm policy and/or regulatory rules. Transgressions may range from minor technicalities to violations...

Recent Posts

  • FINRA arbitrators deny claim brought against UBS over YES strategy
  • Barred NY investment broker indicted on stock fraud charges
  • SEC updates list of firms using misleading information to solicit investors
  • Former Goldman Sachs banker sentenced to 10 years in bribery, embezzlement case
  • CFP Board imposes interim suspension on Pennsylvania financial advisor

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