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UBS loses $371,000 claim linked to options strategy

UBS loses $371,000 claim linked to options strategy
UBS has been hit with a rash of arbitration claims over strategies investors say damaged them, and most recently it saw a wave of investor complaints over Puerto Rico bonds and bond funds.
April 8, 2021
2
MINS
UBS Financial Services Inc. lost a $371,000 legal claim last week to clients who invested in an options strategy internally marketed at the firm as the Yield Enhancement Strategy.
It was the ninth such investor arbitration claim heard by a panel under the aegis of the Financial Industry Regulatory Authority Inc., with UBS winning six, meaning investors received no money, and claimants, or customers, winning three, according to an industry executive who asked not to be named. ....

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