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Do I have to wait for the GWG Wind Down Trust before filing a claim?
No. You do not need to wait for distributions from the GWG Wind Down Trust before pursuing a claim against your brokerage firm or advisor.
Claims through FINRA arbitration are separate from the bankruptcy process and can be filed independently. In many cases, waiting for the Wind Down Trust can delay action and risk running afoul of applicable time limits, including the six-year eligibility rule.
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.
