This article originally appeared on Barrons.com written by Andrew Welsch An arbitration panel ordered UBS to pay nearly $3.9 million in a dispute with a couple who accused the company of negligent supervision and breach of fiduciary duty related to a “highly … Continue reading
Category: UBS YES Losses
Erez Law recently filed a FINRA arbitration against UBS Financial Services Inc. for Yield Enhancement Strategy (YES) program losses. The Erez Law clients allege that Brian Donaldson (CRD #2503258) and Frank Baldwin (CRD #1415901) recommended they invest in the YES … Continue reading