Kyros Law Securities

08/12/2026

02/18/2026

https://www.investmentnews.com/alternatives/bankruptcy-hits-assisted-living-developer-that-raised-money-through-brokers/265313

This is why alternative/private investments for everyone is a bad idea. When it fails, it is a disaster that cannot be liquidated like a regularly traded investment

Inspired Healthcare Capital “looks like the next GWG,” said one plaintiff’s attorney.

02/17/2026

https://www.theguardian.com/us-news/ng-interactive/2026/feb/17/trump-wall-street-plan-mom-and-pop-investors-risks

Trump says everyday Americans deserve a chance to buy higher-risk ‘alternative’ investments. Critics say this could lead to big losses for small investors

01/06/2026

https://www.financialadvisoriq.com/c/5060154/709754?referrer_module=dashLatestNews&module_order=2

Of course she is being replaced, pro investor protection quotes like this do not jive with crony regulation.

Crenshaw described the SEC's move to open alternatives to retail investors as a "harmful policy choice" that exposes those investors to more risky investments lacking the "same guardrails that make our public markets a level playing field for retail investors," in comments to an audience last month at the Brookings Institution.
"My colleagues use lots of buzz words — freedom, diversification, democratization," she said. "Call it what you will, at bottom it's risky and it's reckless."

Lone Democratic SEC Commissioner Departs

11/07/2025

https://www.advisorhub.com/schwab-agrees-to-buy-private-share-platform-for-660-million/

Democratization of private investments. Sounds great in theory. Savy and wealthy investors will continue to have access to the best deals. They have the sophistication to vet the offerings, and can afford to take the loss if it doesn't work out. Retail investors will not have the luxury of access to the best deals. Retail will get what it gets, and rely upon someone with a vested interest in the sale to pick the right investments. This will end badly. Wall Street will act like it was an unforeseen phenomenon, but they know already

Charles Schwab Corp. agreed to buy Forge Global Holdings Inc., a marketplace for buying and selling shares of private companies, for about $660 million.

11/06/2025

https://www.advisorhub.com/finra-benches-ex-morgan-stanley-vet-over-transfers-from-wifes-ira/
Abuse on family accounts is fairly common. One spouse who works in the industry controls the trading and flow of funds in the accounts while the non-industry spouse is shielded from the activity. Firms have identified family accounts with recognizable account number designations so that the firm can monitor and prevent situations like the misconduct in this article. Morgan Stanley likely paid the ex wife's claim because money was flowing from a retirement account, which can trigger penalties and tax ramifications.

The broker transferred around $13,500 to cover joint expenses, according to the regulator.

11/03/2025

https://www.advisorhub.com/finra-fines-first-trust-10-million-over-years-of-lavish-gifts-to-brokers/

What is the motivation for the recommendation? Always important to ask before you agree to purchase any investment products that are not part of a fee based compensation arrangement. Knowing what is in it for the broker is crucial. For years the First Trust Unit Investment Trusts (UITs) have appeared in my clients' accounts. Quick maturities, recurring commission structure. Beyond the obvious we now know that there was way more in play for the brokers selling these products. Happy FINRA figured it out. Now what will the firms do for its clients who were sold these products by brokers motivated for perks beyond commissions?

A First Trust wholesaler in one case conditioned hockey tickets on $1 million in sales of its products.

10/26/2025

https://www.financialadvisoriq.com/c/5009994/693634?referrer_module=dashLatestNews&module_order=1

This is what happens when you play Russian Roullette. Try bad cases with a now barred broker and you end up paying more when the strategy fails. Arbitration award headlines only draws other investor claims and raises settlement values

Stifel Doles Out Millions More in Structured-Notes Settlements