SEC News
- SEC Charges Chicago-Area Father and Son Conducted Cherry-Picking Scheme at Investment Firm May 16, 2013FOR IMMEDIATE RELEASE2013-90 Washington, D.C., May 16, 2013 — The Securities and Exchange Commission today charged a father and son and their Chicago-area investment advisory firm with defrauding clients through a cherry-picking scheme that garnered them nearly $2 million in illicit profits, which they spent on luxury homes, vehicles, and vacations. Addition […]
- SEC Names Keith F. Higgins as Director of Division of Corporation Finance May 15, 2013FOR IMMEDIATE RELEASE2013-89 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today named Keith F. Higgins as the new director of the agency’s Division of Corporation Finance. Mr. Higgins comes to the SEC from the law firm of Ropes & Gray LLP where he is a partner in its Boston office with 30 years of experience advising public com […]
- SEC Names Lona Nallengara as Chief of Staff May 15, 2013FOR IMMEDIATE RELEASE2013-88 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today announced that Lona Nallengara has been named the agency’s chief of staff. Mr. Nallengara came to the SEC in March 2011 and served as deputy director for legal and regulatory policy in the Division of Corporation Finance until he was appointed in Decemb […]
- SEC Charges China-Based Executives in Scheme to Overstate Revenues and Divert Money for Personal Use May 15, 2013FOR IMMEDIATE RELEASE2013-87 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today charged husband-and-wife executives at a China-based company with engaging in a scheme to overstate the company’s revenues and divert proceeds from a securities offering for their personal use. Additional Materials SEC Complaint The SEC alleges that RIN […]
- SEC, FINRA Issue Investor Alert On Pension or Settlement Income Streams May 9, 2013FOR IMMEDIATE RELEASE2013-86 Washington, D.C., May 9, 2013 — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today issued an investor alert entitled Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them. The investor alert informs investors about the risks involved when selli […]
TAG | Mark Van Mourick Optivest broker
May/12
4
Did You Experience Investment Losses with Cawley Multifamily Fund I, LP?
Comments off · Posted by Securities Lawyer in FINRA
Attention Cawley Multifamily Fund I, LP Investors: You may be able to recover your investment losses in Cawley Fund by filing a FINRA arbitration against your selling broker.
The broker/dealers that sold the Cawley Fund include, Optivest, Capital Financial Services, Inc.; Calton & Associates, Inc.; and VSR Financial Services, Inc. Soreide Law Group is investigating sales, specifically by Optivest broker, Mark Van Mourick.
The investors through VSR Financial, Capital Financial Services and Odyssey Securities were told that these notes were secured notes and appropriate for fixed income investors. The sales presentations, usually surrounding a free lunch or dinner and marketed to elderly clients, may well have not adequately disclosed the risk associated with the secured notes or the illiquidity of the secured notes.
If VSR Financial, Optivest, Capital Financial Services, or any other brokerage firm, sold you an investment in Cawley Multifamily Fund call Soreide Law at (888) 760-6552 or visit http://www.securitieslawyer.com.
Free consultation, representing investors nationwide. No fee if no recovery.
brokers recommending risky investments · Calton & Associates · Capital Financial Services · Cawley Multifamily Fund I · Cawley Multifamily Fund losses · elder abuse in investments · failure to supervise brokers · Financial Industry Regulatory Authority · FINRA · FINRA arbitration · finra lawyer · fort lauderdale securities fraud lawyer · illiquidity of secured note · Lars K. Soreide Soreide Law Group · Mark Van Mourick Optivest broker · Odyssey Securities losses · Optivest · Secured Notes · targeting elderly investors · Unsuitable investments to elderly · VSR Financial Services
