Scott Rosenburg of UBS Financial Services is Facing Six Complaints Over Losses Suffered With the UBS YES Strategy

Investors Allege that Scott Rosenberg Made Material Misrepresentations and Unsuitable Investment Recommendations

The Sonn Law Group is investigating UBS Financial Services advisor Scott Michael Rosenburg and the UBS YES strategy. We hold negligent financial advisors accountable. To get a free, completely confidential consultation, please contact our law firm or call 866–827–3202 today.

Scott Rosenburg UBS Scott Michael Rosenburg (CRD#: 2754292) is a licensed securities broker and registered investment advisor (RIA). Since November of 2015, Mr. Rosenburg has been associated with UBS Financial Services in New York City.

During his time at UBS, Scott Rosenburg recommended the Yield Enhancement Strategy. Unfortunately, this strategy has produced significant losses for many investors. Since February of 2019, several investor complaints have been filed against Mr. Rosenburg.

Investor Complaints: Scott Rosenburg of UBS Financial Services

As of July of 2019, the Financial Industry Regulatory Authority (FINRA) lists the following six complaints as ‘pending’ against UBS Financial Services representative Scott M. Rosenberg:

  • Unsuitability and material misrepresentations regarding an options overlay strategy: Investor is seeking $400,000.
  • Unsuitable and misrepresentation of risk in relation to an options overlay strategy.
  • Misrepresentations regarding an options overlay strategy investment: Investor is seeking $6,000,000.
  • Unsuitable investment guidance in relation to an options strategy: Investor is seeking $400,000.
  • Unsuitable investments and misrepresentation of risk in stock options: Investor is seeking $100,000,000.
  • Unsuitability and misrepresentation of risk in an options strategy: Investor is seeking $1,835,184.30.

Notably, several of these claimants contend that Mr. Rosenberg improperly recommended that they continue to ‘hold’ their options even after they started to fall in value. As a result, the investors allege that additional, preventable losses were sustained.

Sonn Law Group has a great deal of experience in representing investors who have sustained losses due to the negligence or misconduct of their broker and/or brokerage firm, including cases involving complex options strategies. We will aggressively pursue claims to recover your Yield Enhancement Strategy or other investment losses.

If you are looking for an investment fraud attorney to review your rights and options, the investment fraud lawyers at Sonn Law Group represent individual and institutional investors who have lost money as a result of unsuitable investment advice, negligent advice, investment fraud or stockbroker misconduct. Our attorneys have helped to recover more than $250 million in assets lost to investment fraud, securities fraud, Ponzi schemes, and stockbroker misconduct. To set up a free, no obligation review of your case, please call us now at 866–827–3202 or contact us online.