Regulation D Private Placement Lawyers

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 ( 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.

At least 43 of these Reg D private placements neglected to file yearly registration forms. There are also growing concerns that the value of offerings was inflated. Some of them have already defaulted.

It bears mentioning that when a broker-dealer sells Regulation D offerings there is a good chance that the firm will make money from commissions and fees whether or not the investment does well. That means a lot of the risk with this type of alternative investment is carried by the investor.

Factor in that HJ Sims private offerings tend to concentrate on bonds, which can make it hard to track what the operating companies have been doing with the money from investors. Not only that but there is always a high risk of failure with Regulation D private offerings. Already, several of them have defaulted.

How Our HJ Sims Reg D Investment Loss Recovery Lawyers Can Help

If you sustained losses in an HJ Sims private offering, contact us today to schedule your free, no-obligation case assessment. Shepherd Smith Edwards and Kantas are highly experienced in representing investors in all kinds of Reg D private placements and we can help you determine the cause of your losses and whether you have grounds for a FINRA lawsuit to recoup damages.


HJ Sims Offerings:

  • Fountains Acquisition Finance
  • Fox Ridge Finance
  • Orchard View, Acquisition
  • DRSN Real Estate GP
  • Elderwood Acquisition
  • Heatherwood Acquisition
  • Sims Merrill Gardens III
  • Stuart Lodge Living/Stuart Lodge Properties
  • Discovery Funding Sarasota Bay
  • Athena Acquisition VI
  • Epic Finance I
  • Carmel Acquisition
  • Treeo Funding I
  • Fountains of Hope
  • Tuscan Isle Property Company
  • Tuscan Gardens of Venetia Bay Properties
  • Gryphon BH Funding
  • HJSI Athena Portfolio Finance
  • Tuscan Isle ChampionsGate Prop. Co.
  • Affinity Portfolio Funding
  • Affinity Portfolio Funding II
  • Affinity Portfolio Funding III
  • Affinity Development Funding I
  • BHCP Acquisition
  • Vantage Point Funding I
  • Sante Funding I
  • Tuscan Gardens of Palm Coast Properties
  • Vita Funding I
  • LW Development Funding I
  • Affinity Funding IV
  • NHG Funding I
  • Affinity Portfolio Funding V
  • Affinity Portfolio Funding VI
  • Monarch Funding I
  • Sims Benchmark V
  • TL Funding I
  • Sims Merrill Gardens V
  • Stonebridge Funding I
  • NHG Funding II
  • Riverview ALF Holdings
  • Civitas Funding I
  • Inspirit Venue Funding I
  • Sims High Income Portfolio
  • NHG Funding III
  • Monarch Funding II
  • Monarch Funding III
  • Monarch Funding IV
  • DRSN Real Estate GP
  • TL Funding II
  • NREA Southeast Portfolio Three
  • Links Funding I
  • Family Health Funding I
  • Sims Benchmark VI
  • NREA Retreat, DST
  • Sims Merrill Gardens VI
  • Griffin Capital (South Beach – Vegas) DST
  • TL Funding III
  • TL Funding IV
  • Caraday Funding I
  • Crown Point Funding I
  • Magnolia Funding I
  • Voralto Funding I
  • Links Funding II
  • ALG Funding IX
  • Watermark FL Funding
  • SAL Funding I
  • Commercial Equipment Finance Income Fund
  • Elevate Funding I
  • Vinebrook Homes Trust
  • Parliament Credit Opportunities Fund
  • Comprehensive Care Funding I
  • PPG Funding I
  • PPG Funding II
  • Hill Valley Funding I
  • Links Funding III
  • NexPoint Buffalo DST
  • NexPoint Hughes DST
  • HBS Acquisition Finance
  • Mackenzie Preferred Funding
  • Cleveland Thermal
  • Sims Cathcart Funding
  • Cypress Point Funding
  • Riverchase Funding
  • Gryphon Finance I
  • Madison Funding I
  • Tuscan Isle Holdings I
  • Tuscan Isle Championsgate Holdings
  • Hawkeye Village Finance I
  • Meridian Portfolio Funding I
  • Poet’s Walk Funding I
  • Wakefield Portfolio Funding I
  • HJSI Athena Portfolio Finance

When you work with us, you retain the services of not just one of our securities lawyers. You will have the attention of our entire firm. We have over a hundred years of collective experience in securities law and the securities industry. We are zealous and thorough when fighting for our clients whether in arbitration, arbitration, mediation, or litigation. We have the skills, resources, and knowledge needed to take on even the most complex claims against the largest brokerage firms.

Call (800) 259-9010 today to request your free, initial case consultation.






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