Regulation D offerings provides registration exemptions to securities which are sold under this regulation. This allows brokers to sell these investments to a class of accredited investors at high commissions. While the sale of these investments can be a great financial benefit to the brokers, these investments often end up causing great financial losses to the investors.
At The Law Offices of Jeffrey A. Feldman, our San Francisco Regulation D attorneys have years of experience representing investors in investment fraud cases in California and throughout the United States. Our proven successes have earned us national renown and our clients millions in financial recovery.
Brokers Improperly Assign An Investor As Accredited To Make More Money
Brokers often sell Regulation D offerings at high-commissions. To earn more commissions, they will purposely misclassify an investor as an http://www.sec.gov/answers/accred.htm accredited investor. Brokers will make up information relating to the investors’ income, assets and experience and put this erroneous information on investor subscription agreements and opening account documentation. The investor will often sign forms in blank, or be told that they have to put down this wrong information in order to invest in this great investment — but it is only great for the broker selling it to you. Doing this hurts the investor a great deal, and provides many investors the option to pursue a claim of investment fraud against their brokers and request rescission.
Your Claim Will Depend Upon Your Specific Regulation D Offering
Claims involving Regulation D offerings tie to the sale of very specific types of securities, including:
Tenancy-in-common properties (TICs): Investments in TICs often lead to claims of unsuitable investments, misrepresentation and failure to diversify.
Private real estate investment trusts (REITs): These are investment vehicles that invest in property, mortgages, and other debt instruments related to property, but the REITs are likely not liquid. These private REITs are often misrepresented, and are usually not suitable except as to a small percentage of a wealthy individual’s portfolio.
Other private placements: Investments in other private placement offerings can also lead to claims involving the overconcentration of investments, unsuitability and misrepresentation.
Regardless of your investment claim, we are prepared to fully represent your interests in securities arbitration or securities litigation.
Contact A Lawyer Who Will Protect You From Financial Crimes
Contact us if you have suffered great financial losses due to unsuitable investments in Regulation D offerings. Located in Northern California, we serve clients throughout the country.