So, when can (and should) defrauded investors file for FINRA arbitration?

7 Common Reasons Why Investors File for FINRA Arbitration

Investor fraud can take many different forms—and investors can (and should) seek appropriate remedies for all forms of fraud. However, some forms of investor fraud are particularly common, as shown in FINRA’s Dispute Resolution Services Statistics. Here is a look at some of the most common reasons why investors file for arbitration with FINRA:

1. Breach of Fiduciary Duty

According to FINRA, breach of fiduciary duty has been the single most common issue raised in customer arbitration proceedings over the past several years. As a general rule, brokers and investment advisors owe various fiduciary duties to their clients. When brokers and investment advisors breach these duties—for example, by engaging in conflicts of interest—investors can seek accountability for any losses they suffer.

2. Negligence

Negligence is the second most common issue raised in customer arbitration proceedings, according to FINRA. Like all professionals, brokers and investment advisors can be held liable for their negligence on the job. This includes (but is by no means limited to) common forms of negligence such as:

• Failing to understand the investments they are recommending
• Overlooking or misunderstanding investment risks
• Failing to timely execute trades
• Failing to provide all material information to investors
• Failing to give due consideration to investors’ individual risk profiles

These issues, among others, can leave investors facing substantial losses that could—and should—have been avoided. When brokers and investment advisors make mistakes that lead to investors’ losses, they deserve to be held fully accountable.

3. Failure to Supervise

Under FINRA’s Rules, brokerage and advisory firms have a duty to supervise their employees. This duty is intended to help prevent investor losses resulting from negligence and to ensure that individual brokers and investment advisors do not engage in conflicts of interest or other fraudulent practices. When firms fail to meet this duty, they can be held directly accountable, in addition to facing vicarious liability for their employees’ negligence or misconduct.

4. Misrepresentations

Brokers and investment advisors have a duty to provide accurate information to their clients. When brokers and investment advisors make misrepresentations—whether intentionally or inadvertently—this can also provide grounds for defrauded investors to seek appropriate remedies through FINRA arbitration. This applies to all types of investment-related information, from the risks involved with particular investments to the fees and commissions that investors will be required to pay.

5. Breach of Contract

If your broker or investment advisor (or brokerage or advisory firm) has breached the terms of your customer contract, you may be able to seek appropriate remedies through FINRA arbitration in this scenario as well. Breach of contract is the fifth most common claim in customer arbitration proceedings, according to FINRA. Examples of specific claims include those related to fees, withdrawals, and investment discretion—among many others.

6. Omission of Facts

Along with misrepresentations, omissions can also leave investors ill-equipped to make sound investment decisions. Omissions of fact are the sixth most common claim in customer arbitration proceedings, according to FINRA. Here too, whether a broker’s or investment advisor’s error is intentional or inadvertent, it can provide clear grounds for an investment fraud claim under FINRA’s rules and federal law. If you believe that you made an uninformed investment decision because your broker or investment advisor failed to provide you with material information, you should consult with a FINRA lawyer promptly.

7. Unsuitable Investment Recommendations

When making investment recommendations, brokers and investment advisors must focus on each individual customer’s portfolio and risk profile. This is known as the “suitability” requirement. If a broker or investment advisor makes unsuitable investment recommendations, this can also lead to untenable investment losses that could—and should—have been avoided. FINRA’s data indicate that unsuitability is the seventh most common claim in FINRA arbitration.

Most Common Investments Involved in FINRA Arbitration Proceedings

Just as some forms of investment fraud are more common than others, fraud involving certain types of investments is more common than fraud involving other types of investments as well. According to FINRA, the most common investments involved in FINRA arbitration proceedings are as follows (from most common to least):

• Real estate investment trusts (REITs)
• Mutual funds
• Private equities
• Options
• Exchange-traded funds
• Annuities
• Structured products
• 401(k)s
• Variable annuities
• Municipal bond funds

Notably, FINRA only recently started tracking customer arbitration proceedings involving cryptocurrency. As a result, while cryptocurrency-related investments (including ICOs) do not currently appear on this list, they will likely appear in the future.

If you think that you may need to file for FINRA arbitration, what is your first step? In this scenario, it is important to act promptly—and, to protect yourself, you will want to ensure that you are relying on sound legal advice from an experienced FINRA lawyer who has your best interests in mind. To find out if filing for FINRA arbitration makes sense, you should consult with an experienced FINRA lawyer as soon as possible.

Schedule a Call with an Experienced FINRA Lawyer at Zamansky LLC

If you have questions about filing for FINRA arbitration, we encourage you to contact us promptly. We provide free initial consultations, and we represent defrauded investors across the United States. To schedule a call with an experienced FINRA lawyer at Zamansky LLC as soon as possible, call 212-742-1414 or inquire online today.

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If you’re a retail investor with a private credit fund, and you have concerns about recouping your losses, contact our office today for immediate assistance.

The post When Private Equity Meets Retail Investors: The Coming Clash Over Liquidity and Investor Protection appeared first on Zamansky LLC.

Brokers face FINRA claims in Easterly high-yield sell off

Brokerage firms that recommended investors buy Easterly RocMuni High Income Municipal Bond Fund may face regulatory action as fallout continues over the fund’s sudden collapse last summer.

A handful of law firms have filed or are preparing to file Financial Industry Regulatory Authority arbitration claims on behalf of bond buyers they say were misled about the risks of buying the high-yield fund. Stifel, Janney Montgomery Scott and Osaic Wealth have been named as potential targets.

FINRA arbitration claims aim to resolve disputes between investors and brokers, typically within a year of the claims being filed. The regulatory claims come as Easterly and a host of related entities face a class-action lawsuit filed by investors in the Southern District of New York.

Last June, the Easterly fund startled the muni market when it saw a stunning sell off. At the time, just under 84% of the portfolio was made up of credits rated D to BB-plus. The fund, created in 2017, is now on track to be dissolved, according to securities filings.

Investment and securities fraud law firm Zamansky LLC has already filed FINRA claims against Stifel and Osaic and is considering similar claims against Janney Montgomery Scott, said Jake Zamansky. 

“It’s a fund that we believe never should have been sold to retail investors,” Zamansky said.

Zamansky said one of his clients is an 86-year-old widow “with a third-grade education” who Osaic “moved out of a safe bond fund and put her into this,” he said. “She lost half her retirement savings,” he said. “There have to be several hundred of these investors around the country and we expect to hear more people wanting to file claims after they prepare their tax returns for 2025 and realize how much they lost.”

Law firm KlaymanToskes is preparing to file FINRA claims within the next month or so, said Lawrence L. Klayman. He declined to name the broker dealers.

“I don’t think this should have been sold to conservative, income-oriented investors who are typically retired,” Klayman said. “You have unsuitability, and you may have concentrations where people have big positions in this and they didn’t think they needed to own other municipal bonds because they thought they were diversified,” he said. “This was diversified all right, but in extremely high risk and low quality [bonds].”

Klayman said FINRA claims often lead to higher recoveries than class action lawsuits, which can take years to resolve.

Shepherd Smith Edwards & Kantas said last August that it had filed a FINRA lawsuit against Stifel on behalf of its investor.

“At no point did this Paducah, Kentucky investor’s Stifel broker let him know there were concerns about the Easterly Fund,” SSEK said in a release. “Instead, this investor alleges he was always led to believe this was a safe investment, despite it always being a junk bond fund.”

Iorio Law PLLC and Altamirano PLLC have also put out press releases looking for investors for potential claims.  

As of Dec. 30, 2025, the fund had net assets of $8.8 million — down from $232 million as of March 31, 2025 — and its NAV was $2.18, down from $6.36 in June 2025 ahead of the sell off.

Easterly Trust filed a Dec. 29, 2025 securities notice stating the board has approved a Plan of Liquidation and Dissolution. The fund’s remaining assets will be converted into cash or cash equivalents and distributed to shareholders except for cash or assets necessary to cover unpaid liabilities or contingent liabilities, the filing said.

“The fund currently holds certain illiquid investments, which Easterly will seek to dispose of in an orderly manner,” the filing said. “Easterly cannot currently predict how long it will take to accomplish the disposition of these assets. In addition, the fund is a named defendant in a putative class action lawsuit, creating a contingent liability of the fund. It is not currently possible to predict when the fund will be able to resolve or provide for this contingent liability in order to begin liquidating distributions to shareholders.”

On the lawsuit front, Easterly and related defendants have until the end of March to file a motion to dismiss a second amended complaint that was filed Feb. 20 by investor Richard Fulford.

Osaic declined to comment. Stifel, Janney and Easterly did not respond to requests for comment.

The post Zamansky LLC Featured on FINRA Claims Arising From Easterly High-Yield Fund Collapse appeared first on Zamansky LLC.

The Top 15 Issues in FINRA Arbitration

When can you file for FINRA arbitration? According to FINRA, these are the 15 most common issues raised in investor arbitration proceedings:  

1. Breach of Fiduciary Duty

All stock brokers owe a fiduciary duty to their clients. This means they must put their clients’ interests first and not let conflicts of interest affect their investment recommendations. According to FINRA, approximately 45 percent of all arbitration complaints filed in 2025 involved claims for breach of fiduciary duty.

2. Negligence

While stock brokers’ recommendations don’t need to be profitable 100 percent of the time, stock brokers do need to ensure that their recommendations are based on sound and reasoned decision-making. Negligence is among the most common issues raised in FINRA arbitration cases as well, including approximately 43 percent of all cases filed in 2025.

3. Failure to Supervise

Broker-dealer firms are required to supervise their brokers under FINRA’s Rules and under federal law. Failure to supervise can lead to a host of issues—from breaches of fiduciary duty to negligence, and from unauthorized trading to breach of contract.

4. Misrepresentation

When making investment recommendations, stock brokers have a duty to provide investors with the information they need to make informed decisions. This necessarily involves providing accurate information that investors can use to assess the risks involved in investing. If a stockbroker misrepresents material information—whether inadvertently or intentionally—this can provide clear grounds for investors to seek to recover their investment losses.

5. Breach of Contract

Breach of contract claims filed in FINRA arbitration can involve a wide range of issues—from charging excessive fees to failing to transfer investors’ funds upon request. According to FINRA, more than a third of all arbitration cases filed in 2025 involved breach-of-contract claims. Many of these cases likely involved claims for breach of fiduciary duty and other issues.

6. Omission of Facts

Along with their duty to avoid misrepresenting material information, stockbrokers also have a duty to avoid omitting material information in their disclosures to clients. This includes information on fees, risks, and anything else that might be material to an investor’s decision to invest.

7. Suitability

When making investment recommendations, stock brokers must make recommendations that are “suitable” to each investor’s individual circumstances. This means that their recommendations must reflect each individual investor’s portfolio value and composition, risk profile, age, and other relevant factors. Suitability is another common issue in FINRA arbitration cases—it was among the claims asserted in just under a third of all FINRA arbitration complaints filed last year.

8. Fraud

“Fraud” is a broad term that encompasses many of the other issues on this list. Misrepresenting or omitting material information, and engaging in manipulative or unauthorized trades are common examples of investment fraud—among many others.

9. Breach of Regulation Best Interests (Regulation BI)

As its name suggests, Regulation Best Interests (Regulation BI) requires stock brokers to put their clients’ interests first. If a stockbroker does not act in an investor’s best interests, this can constitute a clear violation of Regulation BI. Similar to fraud claims, Regulation BI claims will frequently involve other issues included on this list as well.

10. Manipulation

Manipulative trading, or manipulation, involves front-running and other practices designed to improperly influence securities markets for the benefit of stockbrokers and their firms. Manipulation of securities markets can violate various state and federal laws (in addition to FINRA’s Rules), and it can also provide clear grounds for investors to seek to recover their losses.

11. Violation of Blue Sky Laws

State securities laws are commonly referred to as “blue sky” laws. Along with claims under federal securities laws like the Securities Act of 1933 and the Securities Exchange Act of 1934, investors can (and do) pursue claims under state law in FINRA arbitration as well.

12. Elder Abuse

Elder abuse involves taking advantage of access to aging investors’ portfolios and accounts. It can involve any of the other issues on this list (among others), and, according to FINRA, nearly 10 percent of all arbitration complaints filed in 2025 involved claims related to the victimization of elderly investors.

13. Unauthorized Trading

Stock brokers must obtain their clients’ authorization before executing trades. Buying, selling, shorting, and other transactions executed without a client’s authorization can provide clear grounds to pursue claims in FINRA arbitration if they lead to investment losses.

14. Errors Related to Charges

Errors related to charges can also provide clear grounds to pursue claims in FINRA arbitration. Here too, this includes both inadvertent and intentional errors—and intentional errors are far more common than they should be.

15. Failure to Transfer

According to FINRA, the fifteenth most common issue raised in arbitration cases in 2025 was failure to transfer investors’ funds upon request. If a broker-dealer fails to timely transfer an investor’s funds (or refuses to transfer an investor’s funds at all), this can also lead to losses that investors can—and should—seek to recover through FINRA arbitration.

While these are the most common grounds for pursuing claims against broker-dealers in FINRA arbitration, they are not the only grounds to file a claim as an investor. If you believe that you may be a victim of any form of investment fraud, it will be worth talking to an experienced FINRA lawyer to find out if you have a claim.

Request a Free Consultation with a FINRA Lawyer at Zamansky LLC

Do you need to know more about filing for FINRA arbitration? If so, we invite you to get in touch. Call 212-742-1414 or contact us online to request a free consultation with an experienced FINRA lawyer at Zamansky LLC.

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SEC: Fake Businesses Offered Non-Existent “Security Token Offerings”

According to the SEC’s December 22, 2025 press release, the six “purported” entities used, “an all-too-common form of investment scam that is being used to target U.S. retail investors with devastating consequences.” The SEC’s press release identifies the six entities involved as follows:

• AI Investment Education Foundation Ltd.
• AI Wealth Inc.
• Berge Blockchain Technology Co., Ltd.
• Cirkor Inc.
• Lane Wealth Inc.
• Morocoin Tech Corp.
• Zenith Asset Tech Foundation

As alleged by the SEC, the seven defendants operated the scam from at least January 2024 to January 2025. The SEC states that the purported crypto asset trading firms would attract victims on social media and build their trust through WhatsApp group chats, where they supposedly offered AI-generated investment tips before convincing victims to invest in non-existent trading platforms. The SEC also alleges that the defendants:

• Falsely claimed to have government licenses to operate their crypto asset businesses;
• Offered non-existent “Security Token Offerings” purportedly issued by legitimate businesses; and,
• Charged victims advance fees when they attempted to withdraw their funds, which the defendants never allowed them to withdraw.

In reality, nothing about the defendants’ operations was legitimate, according to the SEC. The SEC says that after collecting more than $14 million from their victims, the defendants “funneled those funds overseas through a web of bank accounts and crypto asset wallets.”

When investors fall victim to these types of scams, they can (and should) seek accountability. While the SEC is pursuing civil charges against the defendants, there is no guarantee that the SEC’s efforts will be successful—or that they will result in recoveries for defrauded investors. While there is no guarantee that investors’ independent efforts will be successful either, investors can engage experienced legal counsel to help them pursue investment loss claims focused on recovering their individual losses.

SEC Office of Investor Education and Assistance Warns of Group Chats as a “Gateway” to Fraud

In an Investor Alert issued the same day as the SEC’s press release, the SEC’s Office of Investor Education and Assistance warns investors about the risk of group chats being a “gateway” to fraud. As the Investor Alert explains:

“[F]raudsters may use investment-related group chats, including on commonly used social media platforms, to lure investors into scams. Investors should never rely solely on information from group chats in making investment decisions. Be wary of any group chat where you receive investment advice from someone you don’t know – this is often how investment scams begin.”

The Investor Alert also highlights several other common characteristics of online investment scams. While many of these scams involve cryptocurrencies and other crypto assets, they can involve stocks and other securities as well. Red flags for these types of scams include:

• Luring investors into group chats through direct solicitation on social media;
• Using social media ads with buttons that automatically add investors to group chats;
• Claiming that group chats are led by trusted authorities, like professors or CEOs;
• Impersonating well-known individuals through AI deepfake videos;
• Promoting AI trading nodes or trading algorithms;
• Encouraging investors to set up accounts on new websites or mobile apps; and
• Demanding advance fees when investors attempt to withdraw their funds.

Along with scams that involve simply misappropriating investors’ funds (in these cases, investors’ funds are never actually invested but instead funneled into scam artists’ accounts), the Investor Alert also warns of pump-and-dump schemes that operate similarly. “Fraudsters sometimes exploit group chats to conduct pump and dump schemes — pumping up the share price of a public company’s stock by making false and misleading statements to create a buying frenzy, and then selling shares at investors’ expense.” These scams can leave investors facing losses they have no hope of recovering through ordinary market forces—and they can also provide investors with clear legal rights.

What to Do if You Fall Victim to a Social Media or Group Chat Investment Scam

With all of this in mind, investors who fall victim to social media and group chat investment scams need to act promptly. While the SEC pursues some cases, it does not pursue all; as noted above, the SEC’s pursuit of a case does not necessarily mean that investors will recover their losses.

Investors who believe that they may have fallen victim to social media and group chat investment scams should:

1. Avoid Paying “Fees” to Attempt to Withdraw Their Funds

You should avoid paying any “fees” to attempt to withdraw your funds.” These “fees” are often just another layer of fraud. To seek to recover your losses, you will most likely need to take legal action.

2. Take Screenshots and Keep Copies of All Communications

Take screenshots of social media posts, group chat messages, websites, app screens, and anything else that you think may be relevant to your investment loss claim.

3. Talk to an Investment Loss Attorney Promptly

Seeking to recover your losses from fraudulent investments will require experienced legal representation. To help maximize your chances of recovery, you should schedule a free consultation promptly.

Schedule a Free Consultation with an Investment Loss Attorney at Zamansky LLC

If you have lost money investing with a purported crypto asset trading platform, an investment club, or any other entity that you suspect may be a scam, we encourage you to contact us right away. Our attorneys represent defrauded investors nationwide. To schedule a free consultation with an investment loss attorney at Zamansky LLC as soon as possible, call 212-742-1414 or tell us how we can help online now.

The post SEC Targets “Purported” Crypto Trading Platforms and Investment Clubs appeared first on Zamansky LLC.

We publish numerous articles on our blog each year, and investment fraud lawyer Jake Zamansky publishes many articles on other platforms as well. Here is a look back at some of the key insights our lawyers shared throughout the year that investors can (and should) carry with them into 2026:

Overconcentrating Investors’ Portfolios in AI Stocks is Not Sound Investment Guidance

While 2025 will be remembered for many reasons, one of its most enduring legacies is likely to be the widespread acceptance of artificial intelligence (AI). All of a sudden, what was once science fiction is now a routine part of our everyday lives.

With the widespread adoption of AI, many AI stocks have performed extremely well this year. Companies like Nvidia and Palantir have led the way, while smaller companies like BigBear.AI have outperformed their expectations by significant margins. However, as we head into 2026, it already looks like the AI stock bubble may be on the verge of bursting.

Despite the promise that AI stocks showed for much of the year, overconcentrating investors’ portfolios in these stocks is not sound investment guidance. If the bubble bursts, investors whose portfolios are overconcentrated could face substantial losses. Although these investors may not be able to recover their losses in the stock market, they may be able to recover their losses by filing claims for fraud. Learn more:

• Retail Investors: Don’t Let the AI Hype Wreck Your Portfolio

• Retail Investors Vulnerable Yet Again as AI Stock Bubble Begins to Burst

Easterly Fund Collapse Illustrates Risks of Relying on Brokerage Firms for Investment Advice

To see what happens when an investor’s portfolio is overconcentrated, we can look at another of 2025’s major investment-related developments: the collapse of the Easterly ROCMuni High Income Municipal Bond Fund (Easterly Fund) in June.

The Easterly Fund was pitched as a municipal bond fund that was a safe long-term investment for aging investors. In reality, it was a complex structured investment product that entailed far more risk than a traditional municipal bond fund.

This became evident when the fund collapsed.

On June 11 shares of the Easterly Fund were worth $6.31. On June 17, they were worth $3.10. At the end of 2025, they are worth just over $2 per share, with virtually no hope of recovering their value. For an overview of what went wrong and what investors can (and should) do in the aftermath, you can read:

• Easterly ROCMuni High Income Municipal Bond Fund (Easterly Fund) Investors May Be Entitled to Recover Their Losses

• Easterly Fund Losses? How You Can Recover Losses Without Going to Court

• 5 Important Facts for Easterly Fund Investors

Yieldstreet Collapse Serves as Yet Another Cautionary Tale for Retail Investors

The Yieldstreet collapse in August of this year provides yet another example of what can go wrong when businesses overpromise and underdeliver. Yieldstreet (which has since rebranded as Willow Wealth) promised retail investors the opportunity to “invest like the 1%” in real estate.

However, not only were Yieldstreet’s promises overly optimistic, but the company also appears to have misrepresented the risks of investing. As interest rates rose and loan defaults crushed the value of the company’s portfolio, many investors suddenly found themselves with little choice but to take legal action. Learn more: Zamansky LLC Seeks Yieldstreet Investors.

As Private Equity Goes Mainstream, So Do Its Risks

Private equity is becoming an increasingly popular option among equity investors. While private equity was once the exclusive domain of high-net-worth and institutional investors, various platforms have opened up private equity investing to the general public.

But, as private equity has gone mainstream in 2025, so have its risks.

These risks—which often aren’t clearly disclosed—can leave unsophisticated investors facing substantial losses. Yet, since these investments typically offer high fees to brokers who promote them, many investors are being encouraged to invest against their best interests. If you are thinking about investing in private equity in 2026 (or if you lost money in private equity in 2025), we strongly encourage you to read: Private Equity Loss Attorney Jake Zamansky is Here to Help Retail Investors.

What Investors Need to Know About Their Legal Rights After a Margin “Blowout”

The Trump Administration declared April 2, 2025 as “Liberation Day.” This is when the administration first imposed sweeping tariffs on products from countries around the globe, which caused the Dow Jones Industrial Average to fall by almost 2,000 points in just a few days. When this happened, many brokerage firms issued margin calls—which led to what is commonly referred to as a margin “blowout.”

While brokerage firms have a fiduciary duty to prioritize their clients’ interests, many do not put their clients’ interests first—at least not all of the time. When this happens, their clients can pay the price, and their clients can find themselves needing to take legal action. Learn more: Investment Fraud Attorney Jake Zamansky Discusses an Investor’s Rights in a Margin “Blowout”.

What Investors Need to Know About Taking Legal Action for Fraud

Ultimately, investors who have been misled into any type of high-risk investment can—and should—talk to an investment fraud lawyer about taking legal action. Brokerage firms, advisory firms, securities issuers and other parties can all be held accountable for fraud—and hiring a lawyer is the first step in the process of seeking accountability. If you need to know more about taking legal action as a defrauded investor in 2026, we strongly encourage you to read: Misled Into a High-Risk Investment? Here’s What You Need to Know.

Request a Free and Confidential Consultation with an Investment Fraud Lawyer at Zamansky LLC

Do you have grounds to file a claim for investment fraud in 2026? If you have questions about your legal rights, we invite you to get in touch. To request a free and confidential consultation with an investment fraud lawyer at Zamansky LLC, give us a call at 212-742-1414 or tell us how we can reach you online today.

The post 2025 Year in Review: Key Insights for Investors Heading Into 2026 appeared first on Zamansky LLC.

Retail investors are encouraged to consult a knowledgeable investment fraud attorney to determine whether their losses stem from unsuitable recommendations or broker misconduct. Contact our office today to discuss your rights and options.

The post Retail Investors Vulnerable Yet Again as AI Stock Bubble Begins to Burst appeared first on Zamansky LLC.

Why Easterly Fund Investors Don’t Need to Go to Court to File a Claim

Our firm is actively representing investors who have suffered significant losses with the Easterly Fund. In these cases, we are pursuing claims against our clients’ brokerage firms—Osaic Wealth and Stifel Nicolaus & Co.

We are not pursuing these claims in court.

Instead, when investors have claims against their brokerage firms, they are entitled to pursue their claims through the process known as FINRA arbitration. The Financial Industry Regulatory Authority (FINRA) oversees the brokerage industry in the United States, and as part of its oversight, FINRA requires brokerage firms to participate in arbitration when their clients file claims for fraud.

Pursuing a claim in FINRA arbitration and going to court are very different. FINRA arbitration is faster and more streamlined, and FINRA’s arbitrators are intimately familiar with the laws and regulations that protect investors. While FINRA arbitration is still a neutral proceeding—it does not inherently favor either party—the ability to pursue claims in arbitration ultimately makes it much more feasible for investors to pursue investment fraud claims when necessary.

With that said, FINRA arbitration is still a formal legal process, and for Easterly Fund investors who are facing substantial losses, the outcome of the process will have significant financial ramifications. As a result, experienced legal representation is essential. When you hire an experienced investment fraud attorney to pursue FINRA arbitration against Osaic Wealth or Stifel Nicolaus & Co. on your behalf:

• Your attorney will explain everything you need to know about FINRA arbitration during your free initial consultation.
• Your attorney will assess the value of your claim and your likelihood of recovery so that you can make an informed decision about whether to proceed.
• If you decide to proceed with FINRA arbitration, your attorney will file your claim and represent you throughout the arbitration process.

All of this costs you nothing out of pocket. At Zamansky LLC, we are representing Easterly Fund investors on a contingency fee basis. This means that you do not have to pay any upfront or monthly legal fees, and our legal fees (if any) will be deducted from your recovery if your claim is successful.

Do You Have a Claim for Easterly Fund Losses? Schedule Your Free Initial Consultation Today

If you would like to know more about the process of seeking to recover your losses from investing in the Easterly Fund, we invite you to get in touch. To get started with a free initial consultation, please call 212-742-1414 or tell us how we can help online today. You can also learn more about recovery options on our Easterly Fund Investment Losses page.

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While some AI companies may succeed, others are fueled more by hype than real innovation. Builder.ai, a startup that was accused of fraud and recently filed for bankruptcy, is a prime example of how overvalued or misleading companies in the AI space can collapse. The same risky enthusiasm is showing up in private equity deals, where failed investments like First Brands and Tricolor have already cost investors heavily.

Speak to a Skilled Stockbroker Fraud Attorney Today

Retail investors who were aggressively pushed into AI-heavy portfolios by brokers are encouraged to consider speaking with a stockbroker fraud attorney. Some of this hype may have been driven by unsuitable or misleading financial advice. Contact our office today if you have questions or concerns.

The post Retail Investors: Don’t Let the AI Hype Wreck Your Portfolio appeared first on Zamansky LLC.

What Easterly Fund Investors Need to know About Their Legal Rights

Did you lose money investing in the Easterly Fund? If so, here are five important facts you need to know about your legal rights:

1. Easterly Fund Investors Are Currently Taking Legal Action

Easterly Fund investors are currently taking legal action. We are actively working with investors to help them seek compensation. Given the current status of the Easterly Fund, this is likely to be the only option for investors to recover their fraudulent investment losses.

2. Easterly Fund Claims Focus on Inadequate and Misleading Disclosures

In our ongoing Easterly Fund fraud cases, we are focusing on allegations related to inadequate and misleading disclosures. Funds and brokerage firms are legally required to provide investors with the information they need in order to make informed investment decisions. Our investigations to date have uncovered evidence that suggests this is not what happened.

3. The Easterly Fund is Not What It was Purported to Be

A central issue with the disclosures surrounding the Easterly Fund is that the fund is not what it was purported to be. Based on communications with investors, it was promoted as a safe, stable, and long-term investment option for those approaching or already in their retirement years. In reality, however, the Easterly Fund was extremely risky and not at all suited to investors in this category.

4. Clients Are Seeking to Hold Osaic Wealth and Stifel Nicolaus & Co. Accountable

Osaic Wealth and Stifel Nicolaus & Co. promoted the Easterly Fund to many of their clients, and it appears that they may have done so inappropriately. If you invested in the Easterly Fund through Osaic Wealth or Stifel Nicolaus & Co., an investment fraud lawyer at our firm can explain everything you need to know.

5. Investors Can Hire an Investment Fraud Lawyer at No Out-of-Pocket Cost

Hiring an investment fraud lawyer to represent you costs nothing out of pocket in this scenario. Our lawyers can assess your legal rights in a free and confidential consultation, and if you have grounds to pursue an investment fraud claim related to your Easterly Fund losses, we can handle your claim at no out-of-pocket cost to you.

Schedule a Free Consultation About Your Easterly Fund Fraud Claim Today

If you would like to learn more about recovering your investment losses from the Easterly Fund crash, we strongly encourage you to get in touch. To schedule a free consultation with an experienced lawyer at Zamansky LLC, please call 212-742-1414 or contact us online today.

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