Securities Investigation – involving AgraShares Fund III
The White Law Group is investigating potential claims involving broker dealers who may have unsuitably recommended AgraShares Fund III to investors.
According to a Form-D filed with the SEC, AgraShares Fund III is a limited liability company organized in 2009 and sponsored by Bluestem Holdings, LLC. Bluestem Holdings LLC functions as an investment firm. The Company specializes in the investment and asset holding of other companies.
Are Alternative Investments Suitable for you?
Interests in limited liability companies (LLC) such as AgraShares Fund III, are often sold as unregistered securities and lack the same regulatory oversight as more traditional investment products. Limited liability companies generally involve a much greater degree of risk compared to traditional investments, such as stocks, bonds or mutual funds.
Some brokers may have downplayed the risks associated with alternative investments and misled investors into thinking that they are “safe” investment products.
The high sales commission brokers earn for selling interests in limited liability companies may have provided some brokers with enough incentive to push the product to unsuspecting investors. According to the Form D, sales commissions for this offering are 8%.
Broker dealers are required by law to perform adequate due diligence on all investment recommendations. They must ensure that each investment is suitable for the investor in light of the investor’s age, risk tolerance, net worth, financial needs, and investment experience.
If a broker makes an unsuitable investment recommendations or fails to adequately disclose the risks associated with an investment they may be liable for investment losses.
FINRA operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute.
Did you lose money investing in AgraShares Fund III at the advice of your financial advisor? If so, the securities attorneys at The White Law Group may be able to help you recover your losses through FINRA Arbitration.
For a free consultation with a securities attorney, please contact The White Law Group at 1-888-637-5510.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For more information on the firm, visit www.WhiteSecuritiesLaw.com.
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