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How can Easterly ROCMuni investors recover losses?
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?
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?
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.
