Kyros Law Securities

Kyros Law Securities We represent aggrieved investors who have received unsuitable investment advice and wrongfully terminated financial advisors

We represent victims of investment fraud

https://www.financialadvisoriq.com/c/5060154/709754?referrer_module=dashLatestNews&module_order=2Of course she is being ...
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

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

https://www.advisorhub.com/finra-benches-ex-morgan-stanley-vet-over-transfers-from-wifes-ira/Abuse on family accounts is...
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.

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

50% of investors polled did not recognize that a risk free 25% return in one year was a scam. 1 year CD rates are around...
10/09/2025

50% of investors polled did not recognize that a risk free 25% return in one year was a scam. 1 year CD rates are around 4%. A 600% greater return than a CD did not seem problematic to half the people in the study. Financial literacy is obviously a big concern. 4% in a government backed investment vs 25%. No wonder we are seeing Ponzi scheme charges from the SEC on a daily basis. Many people do not understand rates of return on a guaranteed investment. Every high school in this country should have a financial literacy class that is required to graduate. People should have a general understanding of what investments are actually government backed with a guarantee. Any rate of return beyond what guaranteed investments are paying is not government backed. Scary

Half of Investors Do Not Recognize Warning Signs of Fraud; Findings Released in Light of World Investor WeekWASHINGTON—In light of World Investor Week (Oct. 6-12), the FINRA Investor Education Foundation (FINRA Foundation) released today first-look findings from its forthcoming report, “Investor...

Great article from Investment News discussing our clients' broker who has been indicted for Medicare fraud. The broker m...
09/22/2025

Great article from Investment News discussing our clients' broker who has been indicted for Medicare fraud. The broker mismanaged stock and fixed income portfolios while operating his fraudulent scheme

The advisor “was making more money with his kickback scheme than working at Merrill Lynch, and he has to pay back more than $5 million,” a plaintiff’s attorney said.

https://www.advisorhub.com/ex-wells-fargo-broker-fined-suspended-over-675k-bequest-from-client/This happens all too ofte...
09/22/2025

https://www.advisorhub.com/ex-wells-fargo-broker-fined-suspended-over-675k-bequest-from-client/

This happens all too often. We once had a case where the broker participated in getting the will changed. Took to the inheritance, but "retired" to avoid this situation. Of course, a few years later the broker was back in the business working for another firm

Broker set up a foundation to receive the funds without fully disclosing her involvement to Wells, according to Finra.

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