The Goldman Scarlato & Penny investor rights lawyers have filed a claim in arbitration on behalf of a UBS YES investor who lost money invested in the UBS Yield Enhancement trading program. The claim was filed against multi-national brokerage firm UBS.

The securities attorneys at Goldman Scarlato & Penny are preparing additional arbitration claims on behalf of other UBS Yield Enhancement Strategy (“YES”) investors and plan to file those claims for compensation on the investors’ behalves.  

UBS YES investors may contact Goldman Scarlato & Penny attorney Alan Rosca for a free, no-obligation evaluation of their loss recovery options at or toll-free at 888-998-0530.

UBS advertised its “YES” program as an option-based trading strategy that sought to increase returns for investors who committed a certain minimum amount of their portfolio (called a “Mandate”) to the YES program. The investors were often shown a presentation, or “slide deck,” which purported to describe YES program. UBS YES investors have started seeing losses in their portfolios in December 2018, and those losses have continued to increase even as many investors started expressing serious concerns about the direction of their portfolios and the trading strategy.

The claim filed by the Goldman Scarlato & Penny securities lawyers on behalf of the UBS YES investor seeks compensation for the investor’s losses in view of the trading strategy and risk disclosures surrounding the YES program. The claim focuses on important issues, including (1) whether the UBS Yield Enhancement Strategy fully and adequately disclosed to investors important and major risks associated with the YES program; (2) whether the YES program was suitable for those investors’ investment profile; (3) whether some investors’ portfolios may have been overly-concentrated in the YES program; and (4) whether the actual trading strategy was consistent with the advertised strategy in the YES presentations and brochures.

Goldman Scarlato & Penny has launched a website with updates for UBS YES investors, at 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 via email at