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AMW LAW PLLC BLOG
NEWS & ANALYSIS
Welcome to AMW Law PLLC’s legal blog, where we break down the complexities of securities laws, rules and regulations for investors and financial professionals alike.
Our posts are organized into four focused categories: Smart Investor Insights offers practical guidance on fraud risks, recovery options, and protecting your investments; Broker Compliance Center provides financial professionals with updates and strategies for staying compliant and defending against regulatory actions; Securities Law Updates highlights key developments from FINRA, the SEC, and the courts that shape the legal landscape; and Our Legal Services gives an inside look at how we help clients pursue and defend securities-related claims.
Whether you're safeguarding your portfolio or your professional standing, our goal is to keep you informed, prepared, and empowered.
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FINRA Sanctions David Lerner Associates and Its Supervisors Over Illiquid Investment Sales: A Cautionary Tale for Investors and Firms Alike
FINRA Sanctions David Lerner Associates and Its Supervisors Over Illiquid Investment Sales: A Cautionary Tale for Investors and Firms...
Artur M. Wlazlo
FINRA Rule 8210 Inquiries and Regulatory Investigations: What to Know and Other Insights from a FINRA Regulatory Defense Attorney.
FINRA Rule 8210 Inquiries and Regulatory Investigations: What to Know and Other Insights from a FINRA Regulatory Defense Attorney. FINRA Rule 8210 is one of the most powerful tools in the arsenal of the Financial Industry Regulatory Authority (FINRA) and plays a central role in the organization’s ability to carry out its regulatory mission. This rule grants FINRA the authority to request documents, data, and testimony from member firms, associated persons, and other relevant
Artur M. Wlazlo
Investment Loss Attorney: Legal Recourse for Financial Harm
Investment Loss Attorney: Legal Recourse for Financial Harm The loss of hard-earned savings due to bad investments can be devastating,...
Artur M. Wlazlo
Stockbroker Fraud Attorney: Seeking Justice for Misled Investors
Stockbroker Fraud Attorney: Seeking Justice for Misled Investors When you entrust your savings, retirement funds, or inheritance to a...
Artur M. Wlazlo
Securities Lawyer for Investors: Comprehensive Legal Help for Investors Facing Financial Misconduct
Securities Lawyer for Investors: Comprehensive Legal Help for Investors Facing Financial Misconduct Investors place a great deal of trust in their financial advisors, brokerage firms, and investment institutions. But when that trust is broken through misleading advice, undisclosed risks, or fraudulent investment products, the consequences can be devastating. At AMW Law PLLC, we help investors identify whether their losses were the result of misconduct and take legal action to
Artur M. Wlazlo
Investment Fraud Attorney: Protecting Investors from Misconduct
Investment Fraud Attorney: Protecting Investors from Misconduct Investment Fraud Is More Common Than You Think Every year, thousands of investors suffer life-altering losses due not to market forces, but to financial misconduct. Investment fraud takes many forms, from Ponzi schemes and unsuitable investment recommendations to unauthorized trading and misrepresentations. What these actions have in common is the breach of trust, and often the violation of state and federal secu
Artur M. Wlazlo
Securities Arbitration Lawyer for Investors: Your Advocate in FINRA Disputes
Securities Arbitration Lawyer for Investors: Your Advocate in FINRA Disputes Disputes in the financial industry can be highly technical, fact-intensive, and governed by a complex framework of federal laws and industry regulations. When investors suffer financial losses due to broker misconduct, the forum for resolving those disputes is often securities arbitration, most commonly conducted through the Financial Industry Regulatory Authority, or FINRA. At AMW Law PLLC, we pro
Artur M. Wlazlo
Understanding High-Yield or “Junk” Bonds: Risks, Regulation, and Legal Remedies
Understanding High-Yield or “Junk” Bonds: Risks, Regulation, and Legal Remedies High-yield bonds, more commonly known as “junk bonds,” are a class of corporate debt securities that offer investors relatively high interest payments in exchange for assuming greater risk. These instruments are typically issued by companies with lower credit ratings or entities that may be highly leveraged, financially distressed, or are otherwise deemed speculative by the major credit rating age
Artur M. Wlazlo
Understanding REIT Investments: What Investors Should Know Before Committing Capital
Understanding REIT Investments: What Investors Should Know Before Committing Capital Real Estate Investment Trusts, or REITs, have become an increasingly popular vehicle for investors seeking exposure to the real estate market without directly purchasing property. Designed to pool investor capital to buy and manage income-generating real estate, REITs promise regular income and potential long-term appreciation. However, beneath this surface appeal lies a complex investment st
Artur M. Wlazlo
FINRA Rule 2010’s Broad Business-Related Scope Affirmed: The Iannazzo Case’s Implications for Personal Misconduct and Professional Consequences.
FINRA Rule 2010’s Broad Business-Related Scope Affirmed: The Iannazzo Case’s Implications for Personal Misconduct and Professional Consequences. Earlier this year, I wrote about the extraordinary flexibility of FINRA Rule 2010 in my article The Expansive Reach of FINRA Rule 2010: Ethical Standards Beyond Securities Transactions . As discussed there, Rule 2010 operates both as a companion to other FINRA rules and as an independent ethical standard capable of reaching misconduc
Artur M. Wlazlo
The Expansive Reach of FINRA Rule 2010: Ethical Standards Beyond Securities Transactions
The Expansive Reach of FINRA Rule 2010: Ethical Standards Beyond Securities Transactions In the highly regulated world of financial services, much attention is paid to the detailed, technical requirements imposed by FINRA’s rulebook. Yet, beneath these specific provisions lies one of the most powerful and flexible rules in the entire securities regulatory framework: FINRA Rule 2010. Though its language is sparse, its reach is expansive, and its enforcement has proven to be a
Artur M. Wlazlo
Are Variable Annuities Good Investment or Trap: Costs, Risks, and Why Variable Annuities May Not Be Right for You.
Are Variable Annuities Good Investment or Trap: Costs, Risks, and Why Variable Annuities May Not Be Right for You Variable annuities are often marketed as an attractive retirement investment vehicle, combining the potential for market-based growth with tax-deferred benefits. However, these financial products come with complexities and risks that can make them unsuitable for many investors, particularly retirees seeking security and predictability. In this blog, we will outlin
Artur M. Wlazlo
Recognizing Excessive Trading (Churning) in Investment Accounts: Key Legal Standards and Investor Remedies
Recognizing Excessive Trading (Churning) in Investment Accounts: Key Legal Standards and Investor Remedies Excessive trading, often...
Artur M. Wlazlo
From Investing to Entertainment: How Gamification of Trading is Reshaping Financial Markets
From Investing to Entertainment: How Gamification of Trading is Reshaping Financial Markets The gamification of securities trading has emerged as a transformative force in financial markets, fundamentally altering how investors, particularly retail traders, make investment decisions and engage with trading platforms. As I see it, gamification operates on two fronts. First, by integrating game-like design features into trading applications, such as interactive visuals, rewards
Artur M. Wlazlo
Record-Breaking FINRA Arbitration Award: Over $100 Million Awarded to Investors in Structured Notes Arbitration
Record-Breaking FINRA Arbitration Award: Over $100 Million Awarded to Investors in Structured Notes Arbitration In an unprecedented decision, a Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded over $100 million in damages to investors who suffered significant losses after their brokers recommended investments in structured notes. The award included over $26 million in compensatory damages and $79 million in punitive damages. The total award is set
Artur M. Wlazlo
Decoding Volatility-Linked Exchange Traded Products (ETPs): A Deep Dive into Their Hidden Risks and What Investors Need to Know
Volatility-Linked Investments and Their Hidden Risks While no single definition describes what a complex investment product is, it is generally understood that these are financial products and instruments, including leveraged and inverse exchange-traded funds (ETFs) and Notes (ETNs), and other derivative securities (collectively, referred to as exchange-traded products or ETPs), that pose unique and significant risks to investors due to their intricate and difficult-to-unders
Artur M. Wlazlo
Investment & Regulatory Risks in Private Placements: Due Diligence, Investor Fraud and Protections
Private Placement Offerings Private placements are a method of raising capital in which securities are sold directly to a select group of investors, typically institutional or accredited, instead of through a public offering. These transactions are usually exempt from the registration requirements of the Securities Act of 1933, enabling issuers to bypass the extensive disclosures and regulatory challenges associated with public offerings. Private placements are commonly utili
Artur M. Wlazlo
Retirement Ruined: The Dangers of Broker Negligence and Fraud
For many hardworking Americans, the dream of a secure and comfortable retirement is built over decades of diligent saving. From the first paycheck, they set aside earnings in individual retirement accounts (IRAs), 401(k)s, annuities, or other retirement plans, sacrificing present luxuries for future financial stability. These individuals trust that when the time comes, their nest egg will be available to support them in their later years, covering essential expenses such as h
Artur M. Wlazlo
Investing in Penny Stocks: Why Low Prices Can Mean High Risks, Costs and Fraud.
Investing in Penny Stocks: Why Low Prices Can Mean High Risks, Costs and Fraud. Low-priced securities, commonly referred to as penny stocks or microcap securities, are shares of small companies that typically trade at low prices, often under $5 per share. They are usually listed on over-the-counter (OTC) markets rather than on major stock exchanges like the New York Stock Exchange or NASDAQ. These stocks are characterized by low market capitalization, limited liquidity, and a
Artur M. Wlazlo
Improper Splitting and the Denial of Breakpoint Discounts in Mutual Funds
Mutual Funds: Improper Splitting and the Denial of Breakpoint Discounts Mutual funds are among the most popular investment vehicles,...
Artur M. Wlazlo
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