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GWG L Bonds

Elderly Investor Awarded $75K in GWG L Bonds FINRA Arbitration

The investor alleged breach of fiduciary duty, negligence, gross negligence, negligent misrepresentation, negligent supervision, breach of contract, fraud, violations of federal securities law, including SEC Rule 10b-5, and violations of the North Carolina Securities Act.

Sep 24, 2025

by Jorge Altamirano

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GWG L Bonds

Investor Awarded $1M in GWG L Bonds FINRA Arbitration

The investor alleged violations of federal securities laws, California securities statutes, unfair business practices, fraud, breach of fiduciary duty, and negligence.

Sep 23, 2025

by Jorge Altamirano

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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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