Investor FAQs | FINRA Arbitration Law Firm

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.

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.

Who may have Easterly ROCMuni fund loss claims?

Investor claims are being filed by those who purchased Easterly ROCMuni through brokerage firms, particularly retirees or conservative investors told the fund was safe or income-focused.

How much has Easterly ROCMuni lost?

As of October 2, 2025, all three share classes (RMJAX, RMHIX, RMHVX) have dropped more than 60% over the past year, with NAVs near $2.95 per share.

What went wrong with Easterly ROCMuni?

The fund loaded up on junk municipal bonds, distressed credits, and leveraged structures like inverse floaters. Those risks were inconsistent with how the fund was marketed to many investors.

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Investor Claims

Turning Broker Betrayal Into Broker Accountability

Fraud or Misrepresentation Alternative Investments Unsuitable Investments GWG L Bonds Claims Selling Away

Securities Violations

Robinhood & Self-Directed Investor Claims

Failure to Supervise Breach of Fiduciary Duty Broker Negligence

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