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Articles Posted in Reg D Offerings

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Rich, Intelisano & Katz Lawyers Investigate Regulation D Offerings Issued by HJ Sims & Co. Inc.

HJ Sims & Co. Inc. (“HJ Sims”) appears to have used Regulation D (“Reg D”) offerings to pass its risk of loss onto its customers while it retained the potential for significant gains.  A scheme like this would violate numerous FINRA Rules and regulations, including suitability, Regulation BI (“Reg BI”),…

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