UBS to Pay $25 Million For Fraud Tied to ‘YES’ Options Strategy: SEC

June 29, 2022 Share This JHVEPhoto – UBS Wealth Management USA has agreed to a censure and to pay $25 million to settle fraud charges tied to improper sales of a complex options-spread strategy dubbed YES (Yield Enhancement Strategy), according to a Securities and Exchange Commission order on Wednesday.  The SEC said that UBS’s […]

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