Options

Options Strategy Losses with UBS Financial Services Inc. Financial Advisor Andrew Perry

Posted on Thursday, May 23rd, 2019 at 8:11 pm    

UBS Financial Services Inc. financial advisor Andrew Perry (CRD# 1726938) has two pending customer complaints for options strategy losses. Perry has been registered with UBS Financial Services Inc. in Short Hills, New Jersey since 2008. Perry has been the subject of two customer complaints in 2019, according to his CRD report: March 2019. “Time frame: […]

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UBS Financial Services Inc. Financial Advisor Scott Rosenberg YES Strategy Losses

Posted on Thursday, May 23rd, 2019 at 12:44 pm    

Did UBS Financial Services Inc. financial advisor Scott Rosenberg (CRD# 2754292) recommend you unsuitable YES strategy investments? Rosenberg has been registered with UBS Financial Services Inc. in New York, New York since 2015. The YES strategy was marketed as an options strategy that was promoted as a safe way to provide investors with additional income. […]

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Collateral Yield Enhancement Strategy Investment Losses

Posted on Thursday, May 23rd, 2019 at 12:19 pm    

Did your financial advisor recommend you invest in a Collateral Yield Enhancement Strategy (CYES strategy) and not adequately disclose the risk associated with this investment? Brokers across the country who work at large brokerage firms including Merrill Lynch, Credit Suisse, Morgan Stanley, and UBS, among others, are alleged to recommended unsuitable CYES strategy investments that […]

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UBS Financial Services Inc. Financial Advisor Matthew Buchsbaum YES Strategy Losses

Posted on Thursday, May 23rd, 2019 at 12:11 pm    

UBS Financial Services Inc. financial advisor Matthew Buchsbaum (CRD# 2220565) has six pending customer complaints for yield enhancement strategy (YES strategy) losses. Buchsbaum has been registered with UBS Financial Services Inc. in New York, New York since 2015. The YES strategy was marketed as an options strategy that was promoted as a safe way to […]

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Widow Seeks $2.37 Million from Wells Fargo for Mishandling Life Insurance Payout

Posted on Wednesday, May 8th, 2019 at 1:16 pm    

Wells Fargo financial advisor Leonard Kinsman (CRD# 2816535) faces a FINRA customer complaint seeking $591,916 in compensatory damages and $1,776,000 in punitive damages, plus costs and lawyers’ fees for losses sustained from mishandling a widow’s life insurance payout in speculative trading. Kinsman has been registered with Wells Fargo Advisors Financial Network, LLC in Staten Island, […]

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Did You Lose Money Investing in the Yield Enhancement Strategy?

Posted on Friday, April 12th, 2019 at 12:39 pm    

Did your financial advisor recommend you invest in the UBS Yield Enhancement Strategy (YES strategy) and not adequately disclose the risk associated with this investment? It is alleged that brokers across the country who work at large brokerage firms including Merrill Lynch, Credit Suisse, Morgan Stanley, and UBS, among others, recommended unsuitable YES strategy investments […]

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Investors Face Major Investment Losses Due to UBS Financial Services Inc. for Yield Enhancement Strategy

Posted on Tuesday, April 9th, 2019 at 9:40 am    

Did your UBS financial advisor recommend you invest in the UBS Yield Enhancement Strategy (YES strategy) and not adequately disclose the risk associated with this investment? The UBS Yield Enhancement Strategy was marketed as an options strategy that was promoted as a safe way to provide investors with additional income. The YES strategy required investors […]

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