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UBS O'Connor

Altamirano PLLC Investigates Investor Losses in UBS O’Connor Working Capital Opportunistic Funds Following First Brands Bankruptcy

UBS reportedly faces more than $500 million in total exposure to First Brands Group across its asset-management and investment divisions. The scale of the exposure and the resulting investor losses raise serious questions about risk management and concentration oversight within UBS O’Connor.

Nov 10, 2025

by Jorge Altamirano

Have Questions About Investor Claims?

How can Easterly ROCMuni investors recover losses?

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FINRA arbitration offers a path to recover damages from the brokerage firms that sold Easterly ROCMuni. Investors may be able to recover principal losses, fees, and interest.

What rules may have been violated in the Easterly ROCMuni case?

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Potential claims may include violations of FINRA’s suitability rule (Rule 2111), broker negligence, failure to supervise, and Regulation Best Interest (Reg BI), among others.

Why are distribution fees an issue for Easterly ROCMuni investors?

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Easterly ROCMuni paid brokers ongoing 12b-1 fees and other compensation, creating incentives to recommend the fund even when it was not in investors’ best interests.
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