Reg D Investment Loss

Reg D Offering Loss Attorneys

Published on: February 3, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investor Losses in HJ Sims Private Placements? Our Reg D Offering Loss Attorneys Are Here To Help

If you are an investor who sustained serious losses in a Herbert J. Sims private placement, Shepherd Smith Edwards and Kantas Reg D Offering Loss Attorneys (investorlawers.com) can help you determine whether you have grounds for an investment loss recovery claim against this broker-dealer. These are Regulation D offerings, which can be high-risk, complex, and illiquid. There are concerns that this broker-dealer allegedly unsuitably—perhaps even fraudulently—sold $2B of these investments to customers.

In December 2024, the New Hampshire Bureau of Securities Regulation announced that it was looking at penalizing HJ Sims $480,000 for alleged failures involving due diligence, compliance, and recordkeeping related to its sale of these private placement offerings to residents in the state. In a proposed cease and desist order, the brokerage firm would also be barred from selling more securities there.

Reg BI Lawyers

Published on: December 16, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Sustain Investor Losses While Working With Ex-American Trust Investment Services Broker Linda Wimsatt? Our Reg BI Lawyers Want To Talk To You

For over 30 years, Shepherd Smith Edwards and Kantas Reg BI Lawyers has been fighting for investors who have suffered portfolio losses due to broker misconduct or negligence. At the moment, we are looking into claims of investment losses involving former customers of suspended financial advisor Linda Jill Wimsatt.

Most recently registered with brokerage firm American Trust Investment Services and investment adviser Chicago Capital Management, she was suspended by the Financial Industry Regulatory Authority (FINRA) last month following findings that Wimsatt allegedly violated clients’ best interests when she purportedly unsuitably recommended speculative, unrated corporate bonds to retail customers and retirees. The California financial advisor consented to the sanctions, including an almost $21K fine, without denying or admitting to the findings.

Regulation D Investor Loss Lawyers

Published on: November 26, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses in the iCap Ponzi Scam?

Our Regulation D Investor Loss Lawyers Can Help You Explore Your Legal Option

Shepherd Smith Edwards and Kantas (investorlawyers.com) continues to investigate investor losses involving iCap investments that may have been unsuitably marketed and sold by broker-dealers and investment advisers. iCap is accused of defrauding hundreds in what a federal judge last month ruled to be a Ponzi scam.

Regulation D investment Attorney

Published on: August 27, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Continue to Investigate HJ Sims Private Placement Losses. Our Skilled Regulation D investment Attorney Teams Are Here To Help You Explore Your Legal Options

Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing investors who have sustained serious losses because Herbert J Sims (HJ Sims) marketed and sold them private placements, including:

Fox Ridge Finance

Reg D Investment Loss Lawyers

Published on: July 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Financial Goal Securities Broker Sell You iCap Investments? Our Reg D Investment Loss Lawyers Continue To Investigate

Shepherd Smith Edwards and Kantas Reg D Investment Loss Lawyers (investorlawyers.com) represents victims of broker fraud and negligence. Currently, our Reg D Investment Loss Lawyers are investigating brokerage firm Financial Goal Securities for allegedly marketing and selling the following investments:

iCap

Reg D Private Placement Lawyers

Published on: June 27, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Investment Fraud And Unsuitability Allegations Continue Plaguing HJ Sims Reg D Investments

Our Reg D Private Placement Lawyers Are Zealously Investigating Investor Losses

Shepherd Smith Edwards and Kantas Reg D Private Placement Lawyers (investorlawyers.com) is continuing to speak with investors who were sold an HJ Sims Regulation D offering by their financial advisor. These are high-risk investments that the broker-dealer may have allegedly unsuitably, maybe even fraudulently, sold—$2B in these private placements to customers, including retail investors and retirees. One can’t help but wonder if the high commissions and fees that HJ Sims brokers stood to earn from the sales took greater precedence over investors’ best interests.

HJ Sims Investment Loss Recovery Lawyer

Published on: May 1, 2024 | by Shepherd Smith Edwards & Kantas, LLP

A Significant Amount of HJ Sims Reg D Bonds May Now Be Worthless. Investing Regulation D Private Placements Often Lead To Serious Losses.

According to SLCG Economic Consulting, a large number of Regulation D offerings issued by Herbert J. Sims (HJ Sims) have defaulted and may be “virtually worthless.” The broker-dealer sold 93 private placement bonds over 10 years. It was the only brokerage firm that sold 84 of them. These alternative investments were worth $2.2B.

Not only that, but SLCG alleges that HJ Sims executives may have created and controlled nearly all of the Reg D issuers. The financial economics consulting firm contends that these executives only risked bearing a “small portion” on any losses while standing to make substantial profits on any gains, in addition to commissions and fees from the sales. Also, there have been accusations that the broker-dealer inflated bond prices on account statements.

Regulation D Private Placement Lawyers

Published on: March 4, 2024 | by Shepherd Smith Edwards & Kantas, LLP

HJ Sims Executives Are Believed To Have Profited Twice From Selling Reg D Offerings to Investors. Our Regulation D Private Placement Lawyers Are Investigating

Shepherd Smith Edwards and Kantas (investorlawyers.com) continue to investigate investor losses from Herbert J. Sims & Co. (HJ Sims) private placement offerings. Meanwhile, there is growing concern that the firm may have sought to profit beyond its sale of at least 93 Regulation D private offerings valued at about $2.2B billion over the past several years.

It was the sole brokerage firm that was exclusively selling 84 of these Reg D investments. Many were from issuers established by HJ Sims executives. This could be a conflict of interest, and they profited from both issuing the offerings and selling them.

Reg D Investment Loss Recovery Lawyers

Published on: February 18, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did Herbert J Sims Broker Alan Dalewitz Sell You Private Placements?

Shepherd Smith Edward and Kantas Reg D Investment Loss Recovery Lawyers Are Investigating Investor Losses

If you suffered serious portfolio losses while working with Herbert J. Sims & Co. (HJ Sims) stockbroker and investment adviser Alan Jay Dalewitz, or any other financial advisor from that firm, Shepherd Smith Edwards and Kantas (investorlawyers.com) want to talk to you. A customer of Dalewitz recently filed an investment loss recovery claim seeking up to $150K in damages and is alleging unsuitable investment recommendations.