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Articles Tagged with Herbert J. Sims

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Investors in private placement securities sold by brokerage firm Herbert J Sims & Co., a/k/a HJ Sims may have potential arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor.

HJ Sims has reportedly offered to investors a number of private placement investments that the firm itself structures and establishes.  These so called Regulation D private or “Reg D” private placement offerings sold by HJ Sims have reportedly totaled about $2.2B billion in principal value sold.  Reportedly HJ Sims sold 84 separate private placements.  Some of the private placements sold by HJ Sims are the following: 

  • Fountains Acquisition Finance
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