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Articles Posted in Reg D Investment Loss

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.