The Easterly ROCMuni High Income Municipal Bond Fund collapsed in August 2025, creating a financial disaster for thousands of investors. This collapse wiped out investor wealth as the fund’s net assets plummeted from over $230 million to under $17 million. Mass asset liquidation triggered estimated investor losses between $50 million and $100 million. Over 50% […]
A recent FINRA arbitration claim against Oak Tree Securities, LLC has drawn attention from investors and legal professionals regarding Delaware Statutory Trusts (DSTs) and their suitability for retail investors. DSTs are specialized real estate investment vehicles that can present significant risks and liquidity challenges. On July 7, 2025, a claim was filed on behalf of
Challenging FINRA Claim Targets Alleged Unsuitable DST Investments Read More »
Daniel Todd Lerner, a securities broker at David Lerner Associates in White Plains, was sanctioned by FINRA on May 20, 2025. This Daniel Todd Lerner case involves regulatory action taken against the experienced broker who has worked in the securities industry since 1985. Brokers are required to consider their clients’ best interests when making investment
Daniel Todd Lerner (White Plains Broker) Sanctioned For Risky Recommendation Read More »
Haselkorn & Thibaut is investigating potential investment-related matters involving Allworth Financial Group and financial advisor Vickie Bogner, based in Lawrence, Kansas. Our experienced securities attorneys are examining claims regarding investment recommendations and suitability standards. Financial Industry Regulatory Authority (FINRA) records indicate a customer dispute against Ms. Bogner seeking $210,000 in damages. This matter involves questions
Allworth Financial Group and Vickie Bogner Investigation Read More »
Financial industry regulators maintain strict oversight to protect investors from improper broker conduct. A recent disciplinary case involving Kenneth John Malm, a former broker with Securities America and Osaic Wealth, demonstrates the importance of regulatory compliance in the securities industry. FINRA imposed a seven-month suspension and $10,000 fine against Malm following his acceptance of a
FINRA Disciplinary Action: Kenneth John Malm Complaints Revealed Read More »