UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading Strategy

Jun 29, 2022

The Securities and Exchange Commission today announced that UBS Financial Services Inc. has agreed to pay approximately $25 million to settle fraud charges relating to a complex investment strategy referred to as YES, or Yield Enhancement Strategy.…

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UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading Strategy

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William Sadleir

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