Investors who suffered losses in the Easterly ROCMuni Fund may have claims against the broker-dealer that recommended it. FINRA arbitration claims in cases like this typically focus on whether the recommendation was suitable, whether the firm conducted adequate due diligence, and whether the risks of the investment were clearly and accurately communicated before the investor committed their money.

Did your broker tell you an IHC Delaware Statutory Trust was a safe, income-producing investment? Inspired Healthcare Capital filed for Chapter 11 bankruptcy in early 2026 with roughly $385 million in liabilities, leaving investors with suspended distributions, locked-up capital, and real uncertainty about recovering their principal. If the risks were never clearly explained to you, that may be a violation of the rules that govern how investments are sold.

According to the Statement of Claim, the recommendations to invest in GWG securities began several years ago. The products were characterized as income-oriented opportunities that aligned with conservative goals and a desire for safe income.