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AMW LAW PLLC BLOG
NEWS & ANALYSIS
Welcome to our legal blog dedicated to unraveling the complexities of securities laws, rules, and regulations. Whether you are an investor, legal professional, or business owner, understanding the intricate framework governing securities is crucial for navigating the financial landscape.
Our blog aims to provide clear, insightful analysis and updates on the latest developments in securities law, ensuring you stay informed and compliant. Join us as we explore key topics, from regulatory changes and compliance strategies to enforcement actions and landmark cases, all tailored to enhance your knowledge and support your professional endeavors
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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...
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...
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...
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...
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...
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...
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...
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
Understanding Variable Annuities: Features, Risks, and Legal Considerations
Variable Annuities: Features, Risks and Legal Options Variable annuities are unique financial products that blend insurance and...
Artur M. Wlazlo
Understanding FINRA Rules on Outside Business Activities and Private Securities Transactions
FINRA Rules on Outside Business Activities and Private Securities Transactions: What You Need to Know. Navigating FINRA’s rules on...
Artur M. Wlazlo
The Curious Case of XRP: How One Digital Currency Can be Simultaneously Security and Non-Security under SEC v. Ripple Labs
Cryptocurrency: Security and Non-Security under SEC v. Ripple Labs In the evolving landscape of digital assets and cryptocurrencies,...
Artur M. Wlazlo
Cryptocurrency Assets: Investment and Regulatory Risks that Investors and Financial Professionals Should Know.
Cryptocurrency Assets: Investment and Regulatory Risks that Investors and Financial Professionals Should Know. Cryptocurrency is a type...
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. Â High-risk trading...
Artur M. Wlazlo
Alpine Securities v FINRA: Narrow Holding Lets FINRA to Live and Fight Another Day.
Alpine Securities v FINRA: Narrow Holding Lets FINRA to Live and Fight Another Day. The United States Court of Appeals for the District...
Artur M. Wlazlo
Regulation Best Interest: Understanding and Compliance
Regulation Best Interest: Understanding and Compliance The promulgation of the SEC’s Regulation Best Interest (Reg BI) marked a...
Artur M. Wlazlo
Lorenzo v. SEC: Scope of Primary Liability for Securities Fraud.
Lorenzo v. SEC: Scope of Primary Liability for Securities Fraud. The Supreme Court's decision in Lorenzo v. SEC Â addressed significant...
Artur M. Wlazlo
FINRA Registration Forms U-4 and U-5: Purpose, Disclosure Obligations and Regulatory Risks.
The Financial Industry Regulatory Authority (FINRA) plays a vital role in regulating and overseeing the securities industry in the United...
Artur M. Wlazlo
SEC v. Jarkesy: The Radical Reworking of the Administrative State.
SEC v. Jarkesy: The Radical Reworking of the Administrative State. In SEC v. Jarkesy , 603 U.S. ___ (2024), No. 22-859 (June 27, 2024),...
Artur M. Wlazlo
The Expungement Process for FINRA Forms U-4 and U-5: Removing Customer Dispute Information from the Central Registration Depository (CRD) System
The expungement process for FINRA Forms U-4 and U-5 is an essential mechanism in the securities industry, aimed at addressing and...
Artur M. Wlazlo
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