UBS Yield Enhancement Strategies Investor Alert: Securities Lawyers Investigating UBS YES Trading Program in the Wake of Investor Losses

Philadelphia, Pennsylvania – 03-07-2019 ( — The investor rights lawyers at Goldman Scarlato & Penny are working on behalf of UBS YES investors who lost money invested in the UBS Yield Enhancement trading program. They are investigating and preparing to take action and seek compensation for any losses the investors suffered. 

 Multinational financial services firm UBS offered the Yield Enhancement Strategy as an option-based trading strategy that sought to increase returns for investors who committed a certain minimum amount of their portfolio (a “Mandate”) to this strategy. UBS offered the Yield Enhancement Strategy typically to high net worth investors, who had to agree to allocate a minimum Mandate to the YES program. Investors were often presented with a presentation, or “slide deck,” which purported to describe the Yield Enhancement program.  In recent weeks UBS Yield Enhancement Strategy investors have started seeing substantial losses in their portfolios. Those losses have continued to increase even as investors started expressing serious concerns about the direction of their portfolios. Some UBS YES investors were reportedly asked to provide additional collateral or are facing margin deficits. What’s worse, it appears that at least some of the UBS YES investors were not able to quickly extricate their savings from the Yield Enhancement programs, and are facing the risk of additional losses.  Securities attorney Alan Rosca and his colleagues Mark Goldman and Paul Scarlato are working with investors and are preparing to take action to recover investor losses. Their investigation focuses on important concerns including (1) whether the UBS Yield Enhancement Strategy fully and adequately disclosed to investors serious risks associated with the YES program; (2) whether the YES program was suitable for those investors’ investment profile; (3) whether some investors’ portfolios were overly-concentrated in the YES program; and (4) whether the actual trading strategy was consistent with the advertised YES strategy.  The Goldman Scarlato & Penny lawyers have launched a website with useful information for YES investors: . Investors who believe they lost money invested in UBS’ Yield Enhancement Strategy may contact attorney Alan Rosca or his colleagues, Paul Scarlato or Doug Bench, for a free no-obligation evaluation of their recovery options, at 888-998-0530 or [email protected]. © Goldman Scarlato & Penny PC, 2019. This release includes Attorney Advertising. Visit for important disclosures. 

Media Contacts:

Company Name: Goldman Scarlato & Penny PC
Full Name: Alan Rosca
Phone: 2165700097
Email Address: Send Email

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About the Author: Carrie Brunner

Carrie Brunner grew up in a small town in northern New Brunswick. She studied chemistry in college, graduated, and married her husband one month later. They were then blessed with two baby boys within the first four years of marriage. Having babies gave their family a desire to return to the old paths – to nourish their family with traditional, homegrown foods; rid their home of toxic chemicals and petroleum products; and give their boys a chance to know a simple, sustainable way of life. They are currently building a homestead from scratch on two little acres in central Texas. There’s a lot to be done to become somewhat self-sufficient, but they are debt-free and get to spend their days living this simple, good life together with their five young children. Carrie writes mostly on provincial stories.
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