Investor Updates 2025

A denied motion to dismiss can be a critical turning point in FINRA arbitration. Altamirano PLLC successfully opposed dismissal at multiple stages and secured an award following a full hearing on the merits. Investors facing similar challenges may still have a viable path forward.

Investors who suffered losses in the Easterly ROCMuni Fund may have claims against the broker-dealer that recommended it. FINRA arbitration claims in cases like this typically focus on whether the recommendation was suitable, whether the firm conducted adequate due diligence, and whether the risks of the investment were clearly and accurately communicated before the investor committed their money.

Did your broker tell you an IHC Delaware Statutory Trust was a safe, income-producing investment? Inspired Healthcare Capital filed for Chapter 11 bankruptcy in early 2026 with roughly $385 million in liabilities, leaving investors with suspended distributions, locked-up capital, and real uncertainty about recovering their principal. If the risks were never clearly explained to you, that may be a violation of the rules that govern how investments are sold.

According to the Statement of Claim, the recommendations to invest in GWG securities began several years ago. The products were characterized as income-oriented opportunities that aligned with conservative goals and a desire for safe income.

FINRA’s adoption of Rules 12808 and 13808 represents a meaningful step toward a more responsive arbitration forum for vulnerable investors. By embedding acceleration directly into the rules, FINRA has moved beyond symbolic accommodation and toward practical reform.

While DSTs are frequently promoted as income-producing real estate investments, they are typically illiquid, complex, and subject to risks that may not be readily apparent to retail investors.

Legion Capital securities were sold through independent broker-dealers and registered investment advisers to retail investors nationwide. These financial professionals are expected to conduct reasonable due diligence and to recommend investments that are in the client’s best interest, taking into account factors such as risk tolerance, income needs, time horizon, and liquidity requirements.

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.

IHC investors were told they were buying safe, income-producing products that offered fractional ownership in real estate ventures without the burden of property management. Instead, they were exposed to high-risk, illiquid securities. Altamirano PLLC is investigating whether brokerage firms met their obligations under FINRA’s suitability, due diligence, and supervision rules.