Ongoing Investigation into UBS Willow Fund

Monday, March 18th, 2013

Have you suffered losses as a result of your investment in UBS Willow Fund? If so, the securities lawyers of The White Law Group may be able to help you recovery your losses through a FINRA arbitration claim against the broker-dealer that sold you the investment.

According to SEC filings, the UBS Willow Fund is a closed-end non-diversified management investment company organized in 2001 that invests primarily in debt securities and other obligations of distressed U.S. companies.

In December 2012, a class action lawsuit was filed against the UBS Willow Fund (more info here). As a result, investors that have suffered significant losses are encouraged to explore their legal options do determine if they may have an individual claim against their broker-dealer.

Broker-dealers have a legal obligation to disclose all the risk of an investment prior to making recommendations. According to the Financial Industry Regulatory Authority (FINRA) rules, broker-dealer are required to make suitable recommendations that are consistent with an investors age, liquidity needs, financial objective, and risk tolerance to name a few factors

In addition broker-dealers must perform an adequate investigation of the investment and demonstrate due diligence when making recommendations. Broker-dealers that breach their fiduciary duty to clients may be responsible for investment losses through a FINRA arbitration claim.

If you have suffered significant losses in your portfolio as a result of your investment with UBS Willow Fund and would like to discuss your litigation options with a securities attorney, please call The White Law Group at 312-238-9650 for a free consultation.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Boca Raton, Florida and Chicago, Illinois.  The firm represents investors throughout the country in FINRA arbitration claims against brokerage firm and financial advisors.

For more information on The White Law Group, visit http://www.whitesecuritieslaw.com.

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