blog-014-en | Can GWG L Bond Investors Still Recover in 2026?
Investor Alerts · GWG L Bonds Can GWG L Bond Investors Still Recover Losses in 2026? Yes, many still can, and for some the window is closing while they wait on the wrong process. That is the whole answer, and the rest of this article is the arithmetic and the law behind it. I spent […]
blog-013-en | Why GWG L Bonds Did Not Fit Conservative Investors
Investor Alerts · GWG L Bonds Why GWG L Bonds May Have Been Unsuitable for Conservative Investors Suitability is the quiet workhorse of investor protection. It does not ask whether an investment was fraudulent, or even whether the salesperson said anything false. It asks a simpler question. Did this product fit this customer? For GWG […]
blog-012-en | Were GWG L Bonds Sold as Safe Income?
Investor Alerts · GWG L Bonds Were GWG L Bonds Sold as Safe Income Investments? Here is the strange thing about the GWG L Bond disaster. The offering documents were honest. GWG’s prospectuses described the bonds as speculative, warned that investors could lose everything, disclosed that the bonds were unsecured and unrated, and explained that […]
blog-011-en | The GWG L Bonds Collapse, Explained
Investor Alerts · GWG L Bonds The GWG Holdings L Bonds Collapse, Explained The collapse of GWG Holdings’ L Bonds is one of the largest retail investment failures of the past decade, roughly $1.6 billion in bonds sold to tens of thousands of investors, many of them retirees who believed they were buying steady income. […]
blog-010-en | Too Much of Your Money in One Investment?
Investor Alerts What Happens When a Broker Puts Too Much of Your Money in One Investment? Of all the misconduct patterns I saw in a decade at the SEC’s Miami Regional Office, overconcentration is the one that does its damage most quietly. There is no forged document, no unauthorized trade, often no single moment anything […]
blog-009-en | When Bad Advice Becomes Broker Negligence
Investor Alerts When Bad Investment Advice Becomes Broker Negligence The hardest question in my practice is not whether an investor lost money. The statements answer that. The hard question is which side of a legal line the loss sits on, because the law does not compensate bad outcomes. It compensates breaches of duty. A recommendation […]
blog-008-en | SEC Enforcement Slows. Investor Claims Do Not
Investor Alerts SEC Enforcement Is Slowing. Here Is What That Means for Defrauded Investors. I spent more than a decade building enforcement cases inside the SEC’s Miami Regional Office, so I read the agency’s enforcement statistics the way a former line officer reads dispatch logs. The recent numbers tell a clear story. Cornerstone Research reported […]
blog-007-en | Did Your Broker Trade Without Permission?
Investor Alerts Did Your Broker Make Trades Without Your Permission? You open a statement and there they are. Positions you never discussed, sales you never approved, activity that has no connection to any conversation you remember having. The industry name for this is unauthorized trading, and I want to say plainly what it is, because […]
blog-006-en | Can You Recover Losses in FINRA Arbitration?
Investor Alerts Can You Recover Investment Losses Through FINRA Arbitration? The short answer is yes, when the losses were caused by misconduct rather than by the market. That distinction is the entire subject. Markets fall, and a loss the market caused is a risk you accepted. A loss caused by an unsuitable recommendation, a concentrated […]
blog-005-en | Warning Signs of Elder Financial Exploitation
Investor Alerts How Families Can Recognize Financial Exploitation of an Elderly Investor The elder exploitation cases in my practice almost never come to me from the investor. They come from a son reviewing statements after a health scare, a daughter who noticed her father had grown evasive about money, a family that discovered the new […]