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.

FinCEN’s Record Canaccord Penalty Is a Warning to Broker-Dealers on AML and BSA Compliance.

FinCEN’s Record Canaccord Penalty Is a Warning to Broker-Dealers on AML and BSA Compliance FinCEN’s March 6, 2026, enforcement action against Canaccord Genuity LLC is more than a headline-grabbing penalty. It is a clear statement that anti-money laundering compliance remains a core obligation for broker-dealers, and that failures in this area can draw serious scrutiny not only from FinCEN, but also from the SEC and FINRA. FinCEN assessed an $80 million civil money penalty aga

Artur M. Wlazlo

Non-Traditional ETFs: Where Innovation Meets a Higher Compliance Bar & Risks

Non-Traditional ETFs: Where Innovation Meets a Higher Compliance Bar & Risks Exchange-traded funds (ETFs) are often marketed—and understood—as simple: low-cost, diversified, and easy to trade. But a subset of ETFs operates very differently. Leveraged and inverse ETFs, often grouped under the industry label “non-traditional ETFs,” are designed to deliver a multiple of an index’s daily return, the inverse of an index’s daily return, or both—typically over a single trading day

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

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

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

The Hidden Dangers of High-Risk Trading: What Retail Investors Should Know and Understand About Their Legal Options.

The Hidden Dangers of High-Risk Trading: What Retail Investors Should Know and Understand About Their Legal Options. High-risk trading strategies, such as trading on margin, selling uncovered options or puts, frequent or daily trading of stocks, and short-term trading of mutual funds, promise the allure of rapid profits. However, these methods are akin to walking a financial tightrope where the stakes are often far higher than many investors realize. While these strategies

Artur M. Wlazlo