Articles Tagged with Reg D Offering Loss Attorneys

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.