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UBS Yield Enhancement Strategy Investigation - Investment Fraud Lawyers

Investor Alert

Investment Loss Recovery Group

Investors are turning to investment fraud law firms to recover losses from the UBS "Yield Enhancement Strategy" "YES."

PALM BEACH, FL, USA, May 3, 2019 / -- Haselkorn & Thibaut, P.A.,, a law firm dedicated to handling investment loss recovery cases and representing investors, has initiated a formal investigation of UBS, Credit Suisse, Morgan Stanley and Merrill Lynch, in connection with their sales practices related to Yield Enhancement Strategies (“YES”). YES strategies were by and large presented as investment opportunities to provide additional income in this historic low interest rate environment. Of the aforementioned firms, UBS is receiving the most recent scrutiny and the subject of investor-initiated FINRA Arbitration claims.

Individual investors who have lost money in "yield enhancement strategies" may be eligible for financial compensation. For a free and confidential case review, investors should call 888-628-5590.

The fourth quarter 2018 was a roller coaster ride for many investors. However, UBS (as well as the others), continued to recommend the YES strategy as a safe investment, when in reality it was not. In fact, the YES strategy employed very risky strategies, which were not sufficiently disclosed to individual retail investors. UBS’ YES strategy employs the use of options, which can be complex and unsuitable investments in and of themselves. However, the YES strategy goes above and beyond the basic use of options and utilizes a four-pronged option strategy known as the “iron condor.”

The iron condor options investment strategy involves writing a series of options contracts, typically once or around the same time period. For more details describing the mechanics of the iron condor, visit Haselkorn & Thibaut, P.A. blog post: “Did UBS Yield Enhancement Strategy Cause Unnecessary Losses in Your Investment Portfolio?” dated January 25, 2019.

Matthew Thibaut, a partner with Haselkorn & Thibaut, P.A., a law firm that has experience in handling investment loss recovery cases and representing investors, and a former defense lawyer who has represented UBS and Merrill Lynch, said “the potential claims against UBS and these other massive broker-dealer firms are nothing really new and these matters seem analogous to the structured product cases I used to defend, particularly following Lehman Brother’s bankruptcy in September 2015. There are eerily just too many similarities to ignore.”

If you are an investor who has information relating to any suspected sales practices relating to Yield Enhancement Strategies at UBS or any other firm, or if you have suffered losses involving YES strategies, please contact Haselkorn & Thibaut, P.A., 359 S. County Rd., Suite 101, Palm Beach, FL. 33480 (888-628-5590 or for a no-cost consultation. Haselkorn & Thibaut, P.A. handle cases nationwide.

Jason S. Haselkorn
+1 888-628-5590
email us here