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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’s Spartan Capital Private Placement Case, Part 2: Due Diligence Failures, Conflicts, and Lessons for Investors and Firms
Due Diligence Failures, Conflicts, and Lessons for Investors and Firms This article is Part 2 of a two-part series on FINRA’s enforcement case against Spartan Capital Securities. In Part 1, I explain the Atlas/StraightPath structure, how private placements work, and how Reg BI applies. You can read Part 1 here . In Part 1 of this series, I described FINRA’s complaint against Spartan Capital Securities, LLC, its CEO John Lowry, and its then–interim CCO, Kim Monchik, and walke
Artur M. Wlazlo
FINRA’s Spartan Capital Private Placement Case, Part 1: Private Placements, Reg BI, and the Atlas Funds Structure
Private Placements, Reg BI, and the Atlas Funds Structure This article is Part 1 of a two-part series on FINRA’s enforcement case against Spartan Capital Securities involving private placements and pre-IPO funds. In Part 2, I dig into FINRA’s specific due diligence and supervisory allegations and what they mean for investors and financial professionals. You can read Part 2 here . In November 2025, FINRA’s Department of Enforcement filed a disciplinary complaint against Spar
Artur M. Wlazlo
Reg BI, Options, and Senior Clients: Lessons from FINRA’s Taylor AWC
Reg BI, Options, and Senior Clients: Lessons from FINRA’s Taylor AWC FINRA’s recent Acceptance, Waiver, and Consent (AWC) involving...
Artur M. Wlazlo
Failure to Supervise in Action – Arbitration Case Examples and Evidentiary Proof (Part II)
Failure to Supervise in Action – Arbitration Case Examples and Evidentiary Proof (Part II) In Part I , we explained the supervisory...
Artur M. Wlazlo
Failure to Supervise: Rules, Legal Standards, and Claim Elements (Part I)
Failure to Supervise: Rules, Legal Standards, and Claim Elements (Part I) When a brokerage firm fails to detect or prevent a broker’s...
Artur M. Wlazlo
Securities Lawyer Near Me: Local Counsel with National Experience
Securities Lawyer Near Me: Local Counsel with National Experience When faced with complex legal issues involving investments, broker misconduct, or securities regulation, many investors and financial professionals begin their search with a simple question: “Where can I find a trusted securities lawyer near me?” For individuals in Long Island, New York, and the greater tri-state area, AMW Law PLLC offers the unique combination of Wall Street-level experience and local, person
Artur M. Wlazlo
GWG L Bonds and FINRA Enforcement: A Stark Warning for Investors and Financial Professionals
GWG L Bonds and FINRA Enforcement: A Stark Warning for Investors and Financial Professionals The collapse of GWG Holdings, Inc. and its...
Artur M. Wlazlo
Investment Lawyer: Recovering Investor Losses and Safeguarding Investor Interests
Investment Lawyer: Recovering Investor Losses and Safeguarding Investor Interests Investing should be a path to growth, stability, and...
Artur M. Wlazlo
When Annuity Exchanges Go Wrong: FINRA Enforcement Action Highlights Risks of Registered Index-Linked Annuities (RILAs) Recommendations
When Annuity Exchanges Go Wrong: FINRA Enforcement Action Highlights Risks of Registered Index-Linked Annuities (RILAs) Recommendations...
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
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
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
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