Investor FAQs | FINRA Arbitration Law Firm

Has Easterly ROCMuni collapsed?

Yes. In June 2025, the fund took large markdowns and sold illiquid, high-yield municipal bonds. Its NAV plunged more than 60% year-over-year, devastating investors who expected safe, tax-exempt income.

Can investors file securities violation claims in FINRA arbitration?

Yes. Investors can file and pursue securities violation claims in FINRA arbitration to recover their losses. State securities law violations can also be asserted in arbitration, giving investors access to statutory remedies and the potential recovery of attorney’s fees.

Do I need to prove intent to defraud?

Not always. In Florida, negligent omissions are enough. In California, intent is irrelevant under section 25401. In Oregon, control persons are liable unless they prove they did not and could not reasonably have known of the misconduct.

What makes Oregon’s securities laws, including ORS 59.135 and ORS 59.137, unique?

Oregon law makes brokers and those who aid them — such as control persons and officers — liable for securities fraud. Investors may recover damages, commissions, and interest, and courts and arbitration panels may award attorney’s fees. Recent amendments also added restitution and higher penalties when elderly or vulnerable investors are harmed.

What makes the California Corporations Code sections 25401, 25501, and 25503 unique?

California law prohibits misrepresentations and the sale of unregistered securities. Investors do not need to prove reliance or intent to defraud. Courts and arbitration panels must award attorney’s fees and costs to prevailing investors, and Respondents cannot recover their fees if they prevail.

What makes the Florida Securities and Investor Protection Act unique?

Florida law covers both registration and antifraud violations. Brokers who sell unregistered securities face automatic liability. Investors can recover rescission or damages using a statutory formula, and courts and arbitration panels may also award attorney’s fees and costs to prevailing investors. Florida law also permits punitive damages in egregious cases.

What is Rule 10b-5 and how does it apply to Robinhood?

Rule 10b-5 prohibits brokers from making false or misleading statements about securities. Class actions under 10b-5 face hurdles such as proving intent to deceive and classwide damages. In arbitration, panels may be more willing to consider 10b-5 arguments, and investors can also bring claims for negligence, misrepresentation, and failure to supervise.

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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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