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Articles Posted in Misrepresentation and Omission of Material Facts

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Silver Law Group seeks to speak to investors in the Easterly ROCMuni High Income Municipal Bond Fund (RMHIX), which has recently declined in value by about half. Our firm may be able to help you recover your losses. If you bought or acquired shares of Easterly ROCMuni High Income Municipal Bond Fund (RMHIX), Silver Law Group may be able to recover your investment losses. Contact us at 800-975-4345 or ssilver@silverlaw.com for a no-cost consultation.Silver Law Group seeks to speak to investors in the Easterly ROCMuni High Income Municipal Bond Fund (RMHIX), which has recently declined in value by about half. Our firm may be able to help you recover your losses.

If you bought or acquired shares of Easterly ROCMuni High Income Municipal Bond Fund (RMHIX), Silver Law Group may be able to recover your investment losses. Contact us at 800-975-4345 or ssilver@silverlaw.com for a no-cost consultation. Continue reading ›

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Silver Law Group is investigating potential claims to recover losses for Easterly ROCMuni High Income Municipal Bond Fund (RMHIX) investors. The fund has lost over 50% of its value in 2025, sustaining the majority of losses in the past few months. According to Easterly’s website, the fund employs “a tax-efficient, high-yield municipal bond strategy that focuses on delivering yield-driven total returns.” Other materials distributed by the fund claim the fund relies “mostly on fundamental credit analysis by building a diversified high-yield portfolio focusing on overlooked and under-appreciated sectors of the high-yield municipal bond market.”Silver Law Group is investigating potential claims to recover losses for Easterly ROCMuni High Income Municipal Bond Fund (RMHIX) investors. The fund has lost over 50% of its value in 2025, sustaining the majority of losses in the past few months.

According to Easterly’s website, the fund employs “a tax-efficient, high-yield municipal bond strategy that focuses on delivering yield-driven total returns.” Other materials distributed by the fund claim the fund relies “mostly on fundamental credit analysis by building a diversified high-yield portfolio focusing on overlooked and under-appreciated sectors of the high-yield municipal bond market.” Continue reading ›

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Silver Law Group is investigating claims on behalf of stockholders who lost 95% of the principal they invested in funds offered by Hatteras Investment Partners LP after Hatteras sold their funds to The Beneficient Company in 2021.   Beneficient is tied to GWG, which declared bankruptcy in 2022 after suffering catastrophic losses for investors. A recent lawsuit against certain Beneficient Officers and/or Directors has revealed substantial allegations of misconduct and fraud throughout the companies.   According to Hatteras SEC filings, on December 7, 2021, the Hatteras Master Fund, L.P. exchanged interests in the Adviser Funds for Beneficient Preferred Series B-2 Unit Accounts and entered into a Registration Rights Agreement with the Beneficient Company Group, L.P.  If you invested in Hatteras Investment Partners Funds and have questions about your legal rights, or if you have information relevant to this matter, contact Silver Law Group for a no-cost consultation at 800-975-4353 to discuss your potential options. Silver Law Group is investigating claims on behalf of stockholders who lost 95% of the principal they invested in funds offered by Hatteras Investment Partners LP after Hatteras sold their funds to The Beneficient Company in 2021.  

Beneficient is tied to GWG, which declared bankruptcy in 2022 after suffering catastrophic losses for investors. A recent lawsuit against certain Beneficient Officers and/or Directors has revealed substantial allegations of misconduct and fraud throughout the companies.   Continue reading ›

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Silver Law Group, a nationally recognized law firm that represents investors, is currently investigating Alliance Bernstein after its customers suffered losses related to their Option Advantage Strategy. If you invested in Alliance Bernstein’s Option Advantage and have questions about your legal rights, or if you have information relevant to this matter, contact Silver Law Group for a no-cost consultation at 800-975-4353 to discuss your potential options. Advisors with global asset management firm Alliance Bernstein encouraged their investment customers to invest in a new and complicated options strategy they called “Options Advantage.” This strategy was described as something for investors who were “seeking incremental return in a low yield environment.”Silver Law Group, a nationally recognized law firm that represents investors, is currently investigating Alliance Bernstein after its customers suffered losses related to their Option Advantage Strategy.

If you invested in Alliance Bernstein’s Option Advantage and have questions about your legal rights, or if you have information relevant to this matter, contact Silver Law Group for a no-cost consultation at 800-975-4353 to discuss your potential options. Continue reading ›

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If you were one of the many investors who were led to believe that the Options Advantage Program from Alliance Bernstein was a solid investment, Silver Law Group may be able to help you recover your investment. The current investigation involves AllianceBernstein LP and Sanford C. Berstein & Co. and their brokers. These entities are being scrutinized for allegedly recommending their clients to invest in the Option Advantage Strategy, which is a complex options strategy designed to generate additional returns in a “low yield environment.” The crux of the program was the “cash-free” appeal. This meant that returns were on funds already invested so that investors wouldn’t have to deposit more. The funds were collateral, and the additional returns relied on margins. The promotion of the Option Advantage Strategy occurred from 2018 until October 2022.If you were one of the many investors who were led to believe that the Options Advantage Program from Alliance Bernstein was a solid investment, Silver Law Group may be able to help you recover your investment losses.

The current investigation involves AllianceBernstein LP and Sanford C. Berstein & Co. and their brokers. These entities are being scrutinized for allegedly recommending their clients to invest in the Option Advantage Strategy, which is a complex options strategy designed to generate additional returns in a “low yield environment.” Continue reading ›

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Silver Law Group recently wrote that it was investigating L Bonds offered by GWG Holdings, following GWG’s temporary suspension of sales of L Bonds. In March 2021, GWG notified the Securities and Exchange Commission (SEC) that it could not timely file its Forms 10-K and 10-Q, which are annual and quarterly financial reports and company disclosures. GWG said it needed additional time to complete these financial statements and related disclosures. This prompted a deficiency letter from Nasdaq in April 2021. Background On GWG Holdings And L Bonds GWG Holdings (GWGH) is a Dallas-based financial services firm that offers a variety of services including life insurance and alternative investments. GWG sold billions of dollars worth of L Bonds over the past several years, and investors are now growing concerned about the status of these investments. Generally speaking, L Bonds are a relatively new financial product that purportedly offers higher yields than typical publicly traded, fixed income bonds. L Bonds are sold by life insurance companies that buy back the policies from policyholders. The bonds are supposed to help finance the purchase of the policies. According to a prospectus published by GWG for the offering of $2 billion of L Bonds, the bonds were sold with varying maturity terms ranging from 2 years to 7 years, with interest rates ranging from 5.50% to 8.50%. These bonds likely carry much higher risk than traditional corporate bonds and other conservative investments.Silver Law Group recently wrote that it was investigating L Bonds offered by GWG Holdings, following GWG’s temporary suspension of sales of L Bonds. In March 2021, GWG notified the Securities and Exchange Commission (SEC) that it could not timely file its Forms 10-K and 10-Q, which are annual and quarterly financial reports and company disclosures. GWG said it needed additional time to complete these financial statements and related disclosures. This prompted a deficiency letter from Nasdaq in April 2021. Continue reading ›

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Michael Shillin (Michael Francis Shillin CRD# 5927156) is a barred broker who was last registered with A.G.P/Alliance Global Partners in Altoona, Wisconsin. Before working for A.G.P., Shillin was registered with Raymond James Financial Services and Edward Jones. Michael Shillin Disclosures and Wisconsin Finra Arbitration Claims Michael Shillin is the subject of 20 disclosures on his publicly-available BrokerCheck report, which includes 15 customer disputes (all but one of which are pending), 1 regulatory disclosure, 1 investigation initiated by the FINRA Department of Enforcement, and 3 disputes regarding employment separation after allegations: February, 2021: A customer dispute states that Shillin “recommended an IRA rollover that caused a taxable event, and that Mr. Shillin charged management fees that were higher than the amount that had been agreed upon. Client also stated that Mr. Shillin told him that he owned pre-IPO shares of SpaceX and Palantir, although it does not appear that the client ever purchased those shares. Further, client stated that Mr. Shillin lied about creating a living trust for him.” $5,000 in damages are requested, and the dispute is pending as of this writing.

Michael Shillin (Michael Francis Shillin, CRD# 5927156) is a barred broker who was last registered with A.G.P/Alliance Global Partners in Altoona, Wisconsin. Before working for A.G.P., Shillin was registered with Raymond James Financial Services and Edward Jones. Continue reading ›

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Felix Chu (Felix S Chu CRD# 2427593) is a barred broker last registered with NYLife Securities in Pleasant Hill, California. FINRA indefinitely barred Chu from association with any FINRA member in all capacities for failing to respond to a request for information. Chu’s publicly-available FINRA BrokerCheck report shows that he has been registered with NYLife Securities his whole career, from 1994 until his barring in 2019.Felix Chu (Felix S Chu CRD# 2427593) is a barred broker last registered with NYLife Securities in Pleasant Hill, California. FINRA indefinitely barred Chu from association with any FINRA member in all capacities for failing to respond to a request for information.

Chu’s publicly-available FINRA BrokerCheck report shows that he has been registered with NYLife Securities his whole career, from 1994 until his barring in 2019. Continue reading ›

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The Financial Industry Regulatory Authority (“FINRA”) provides an arbitration process for investors to resolve disputes with their securities advisors. Among other things, the FINRA arbitration process helps parties avoid the expenses and waiting periods associated with filing a case in state or federal court. FINRA also writes special rules and regulations specially tailored to these investment-related disputes. As commissions on trading stocks has gone to zero, Wall Street has replaced recommending stocks with a large number of high commission alternative investments or “products” which can be complex for the average investor but lucrative for Wall Street. Over the last decade, we have seen a substantial rise in product cases for the sale of investments which were sold without disclosure of the fees or risks or alternative investments which failed to perform the way the investment was designed. Frequently, risks and costs are buried deep in the paperwork and products are falsely sold as alternatives to the stock market with reduced risk. FINRA Provides Special Guidance For Arbitrations Concerning Bad “Products” Unfortunately, many investors suffer losses due to broker-dealer firms failing to conduct sufficient due diligence on investment products before recommending them to customers. These “products” include private placements, real estate investment trusts (“REITs”), and busines development companies (“BDCs”). It is often the case that the company managing the product pays the broker a high commission to recommend the investment, incentivizing broker-dealer firms to sell the product in high volumes to a multitude of customers, all without properly investigating the investment. When things fall apart and the value of the investment plummets, the investors are left alone to pick up the pieces, often suffering substantial losses and prolonged illiquidity.The Financial Industry Regulatory Authority (“FINRA”) provides an arbitration process for investors to resolve disputes with their securities advisors. Among other things, the FINRA arbitration process helps parties avoid the expenses and waiting periods associated with filing a case in state or federal court. FINRA also writes special rules and regulations specially tailored to these investment-related disputes. Continue reading ›

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Investors in YayYo (YAYO), a ride-hailing vehicle supply company, were disappointed to find out that their shares, which originally sold for $4.00 per share, are now worth pennies. A lawsuit filed in the Southern District of New York, FirstFire Global Opportunities Fund, LLC v. Aegis Capital Corp., et al., alleges that this decimation of stock value was the result of fraud. Specifically, the suit accuses the IPO underwriters, including Aegis Capital Corp., of concealing that its founder/CEO/director, Ramy El-Batrawi, controlled the company despite El-Batrawi’s “checkered past with allegations of securities violations by the federal securities authorities,” according to the Complaint.Investors in YayYo (YAYO), a ride-hailing vehicle supply company, were disappointed to find out that their shares, which originally sold for $4.00 per share, are now worth pennies. A lawsuit filed in the Southern District of New York, FirstFire Global Opportunities Fund, LLC v. Aegis Capital Corp., et al., alleges that this decimation of stock value was the result of fraud. Specifically, the suit accuses the IPO underwriters, including Aegis Capital Corp., of concealing that its founder/CEO/director, Ramy El-Batrawi, controlled the company despite El-Batrawi’s “checkered past with allegations of securities violations by the federal securities authorities,” according to the Complaint. Continue reading ›

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