Investment Losses with Rogers Realty Mezzanine Fund

Posted on February 19th, 2015 at 11:00 AM
Investment Losses with Rogers Realty Mezzanine Fund

From the Desk of Jim Eccleston at Eccleston Law Offices:

Eccleston Law offices are investigating Rogers Realty Mezzanine Fund and Spectrum Realty Mezzanine Fund, which are complex, high-risk investments, and generally are only appropriate for sophisticated or institutional investors. Some of the firms / individuals who sold the funds were: MCL Financial Group, Inc., Pacific West Securities, Inc., Gary Ackerman and Tracy R. Turner of CapWest Securities, Inc., Daryl G. Bank of Capital Securities Management, Joseph R. Broadbent and John Harvey of Omni Brokerage, Inc., Daniel P. Deighan of Boogie Investment Group, Inc., Derek Lopez and Gregory A. Ramirez of National Securities Corporation, Eric P. Weschke and Paul L. White II of Alternative Wealth Strategies, Gordon W. Yee and Joshua W. VanDress of National Securities Corporation, Jodi A. Schneelicht of Centaurus Financial Inc., and Leslie V. Anderton of Wilson-Davis and Co., Inc.

Brokerage firm may have liability for selling the investment improperly to its clients, and have an obligation to perform adequate due diligence on any investment they sell. They must ensure that each recommendation that they make is suitable in light of the client’s age, investment experience, investment objectives, income and net worth.

If you invested through them or through others, you may be able to recover your losses through securities arbitration.

The attorneys of Eccleston Law Offices represent investors and advisers nationwide in securities and employment matters. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. 

Related Attorneys: James J. Eccleston

Tags: Rogers Realty Mezzanine Fund, Spectrum Realty Mezzanine Fund, securities arbitration, improper investment

Return to Archive

TESTIMONIALS

Previous
Next

As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.

Bill C. and Dan M.

LATEST NEWS AND ARTICLES

July 26, 2024
Kentucky Advisor Sues LPL Financial for Alleged Corporate Raid

A Kentucky advisor, Mark Lamkin, has filed a lawsuit against LPL Financial, claiming the independent broker-dealer orchestrated a corporate raid that resulted in the loss of his firm’s entire book of managed assets.

July 25, 2024
FINRA Plans Fee Increases Amid Rising Costs and Losses

The Financial Industry Regulatory Authority (FINRA) has announced plans to raise fees for its approximately 3,300 broker-dealer member firms. According to AdvisorHub, the self-regulator faces soaring costs, as detailed in its annual report published at the end of June.

July 24, 2024
Raymond James Settles with Oregon Over Excessive Commissions

Raymond James recently settled a case with Oregon's Division of Financial Regulation (“DFR”), agreeing to pay nearly $200,000 over allegations of charging excessive commissions to retail investors.