Ob tug neeg so haujlwm tau txais txiaj ntsig $ 5.2 lab kev txiav txim siab tawm tsam
UBS
,
uas lawv tau liam tias yog kev qhia tsis tseeb, tsis tsim nyog, thiab ua txhaum txoj cai ntawm kev ncaj ncees hais txog txoj kev xaiv nyuaj-kev lag luam tawm tswv yim.
Cov ntaub ntawv yog qhov tseeb nyob rau hauv ib tug series ntawm kev cai lij choj sib ntaus sib tua dhau ntawm Swiss bank's Yield Enhancement Strategy, uas muaj cov kev xaiv xaiv. Nws kuj tuaj tom qab UBS tau pom zoo rau lub Rau Hli kom them $ 25 lab rau daws cov nqi dag coj los ntawm Securities thiab Exchange Commission. SEC tau hais tias UBS tsis tau muab nws cov kws pab tswv yim nyiaj txiag nrog kev cob qhia txaus thiab kev saib xyuas txog lub tswv yim, thiab qee tus kws pab tswv yim thiab lawv cov neeg siv khoom tsis nkag siab txog qhov txaus ntshai.
UBS logo
Matthew Lloyd / Bloomberg
UBS ua lag luam thiab muag YES rau kwv yees li 600 tus tub ua lag luam txij Lub Ob Hlis 2016 txog Lub Ob Hlis 2017, raws li SEC. Cov neeg siv khoom thaum kawg tau nqis peev txog $ 2 nphom hauv lub tswv yim ua ntej nws mus rau qhov tsis txaus ntseeg nyob rau xyoo 2018 thaum kev lag luam tsis hloov pauv, tawm hauv cov kev xaiv zoo nrog 18% poob rau xyoo, raws li tus tswj hwm.
Cases qhwv. Cov neeg siv khoom tom qab tau pib ua ntaub ntawv txiav txim plaub ntug tawm tsam UBS, thiab tam sim no muaj qee qhov teeb meem tsis ntev los no tau xaus.
Nyob rau hauv qhov tseeb, pawg neeg txiav txim plaub ntug tau txais kev puas tsuaj rau George thiab Sandra Schussel, ib khub niam txiv so haujlwm, thaum lub Cuaj Hlis 15 - yuav luag peb xyoos tom qab lawv tau foob lawv cov lus foob UBS, raws li ib daim qauv ntawm kev txiav txim plaub ntug.
Cov khub niam txiv "zoo siab heev" nrog qhov tshwm sim, hais tias Schussels tus kws lij choj, John Rich ntawm New York txoj cai lij choj Rich, Intelisano & Katz.
"Tus yuam sij rau qhov teeb meem yog kev sib raug zoo ntawm tus broker thiab tus neeg siv khoom, nrog rau qhov tseem ceeb ntawm lub luag haujlwm ntawm tus kws pab tswv yim nyiaj txiag," hais tias Rich. "Peb tau hais meej rau pawg thawj coj hais tias lub luag haujlwm fiduciary xav tau ntau dua los ntawm tus kws pab tswv yim dua li kos npe rau yam uas tau zam zoo."
Ntxiv nrog rau kev muab khoom plig rau kev puas tsuaj rau Schussels, cov kws txiav txim plaub kuj tau hais kom UBS them $ 28,950 los them tus nqi ntawm lub rooj sib hais.
Ib tus kws tshaj lij UBS tsis kam tawm tswv yim txog rooj plaub.
Cov rooj sib hais tau qeeb me ntsis vim yog Covid-19, tab sis thaum kawg tuav ntawm tus neeg, raws li Rich. "Peb xav tias nws tseem ceeb heev uas yuav tsum muaj cov neeg ua pov thawj, cov neeg siv khoom, thiab cov kws tshaj lij ntawm tus neeg txiav txim plaub ntug," nws hais.
Tus nplua nuj tau sim qhov teeb meem nrog nws cov npoj yaig thiab tus kws lij choj Ross Intelisano, nws hais. New York tus kws lij choj Jacob H. Zamansky, uas tau sawv cev rau lwm tus neeg ua haujlwm YES qub, yog tus kws lij choj rau rooj plaub, raws li kev txiav txim plaub ntug.
Rich hais tias nws lub tuam txhab kev cai lij choj yog sawv cev rau lwm tus neeg siv YES hauv kev txiav txim siab tawm tsam UBS.UBS tau muaj ib daim ntawv sib xyaw nyob rau hauv kev txiav txim los ntawm YES lub tswv yim. Thaum Lub Rau Hli, nws tau poob ob qhov xwm txheej thiab raug yuam kom them ntau dua $ 2 lab hauv tag nrho rau cov neeg ua lag luam ua phem. Schussels 'yeej, txawm li cas los xij, zoo li yog qhov loj tshaj plaws rau hnub tim, raws li kev txiav txim plaub ntug.
Sau ntawv rau Andrew Welsch ntawm [email tiv thaiv]
Tau qhov twg los: https://www.barrons.com/advisor/articles/ubs-yes-options-strategy-arbitration-loss-51663363588?siteid=yhoof2&yptr=yahoo