PHILADELPHIA, May 9, 2019 /PRNewswire/ — The Goldman Scarlato & Penny investor rights lawyers have filed claims in arbitration on behalf of a UBS YES investor who lost money invested in the UBS Yield Enhancement trading program. The claims were filed against UBS.

Goldman Scarlato & Penny securities attorney Alan Rosca and his partners are working with other UBS Yield Enhancement Strategy (“YES”) investors and plan to continue to file claims for compensation on their behalf. YES investors may contact attorney Alan Rosca or his colleagues Paul Scarlato or Doug Bench for additional information or a free evaluation of their legal options.

Multinational brokerage firm 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 substantial losses in their portfolios in December 2018. Those losses have continued to increase even as many investors started expressing serious concerns about the direction of their portfolios and the trading strategy.

In their claims on behalf of UBS YES investors, the Goldman Scarlato & Penny securities attorneys are seeking compensation for the investors’ losses in view of the trading strategy and risk disclosures surrounding the YES program, among others. The claims focus on a number of 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.

The Goldman Scarlato & Penny attorneys have 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 Roscaor 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

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