Written by The White Law Group• February 4, 2024• 7:17 pm• Investment Loss Recovery

CSOZ Northern Boulevard, LLC: Securities Investigation

CSOZ Northern Boulevard Securities Investigation, featured by top securities fraud attorneys, The White Law Group

Investigating Potential Claims: CSOZ Northern Boulevard, LLC

The White Law Group is investigating potential securities claims involving CSOZ Northern Boulevard, LLC, and the liability brokerage firms may have improperly recommended it to investors.

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Regulation D, and SEC regulation, allows small to midsize companies an opportunity to raise capital from investors with less expense and reporting requirements than traditional means, making it quite popular. Often these private placement investments are often publicized for their income potential and for being “non-correlated” to the stock market.

CSOZ Northern Boulevard, LLC reportedly filed a form D to raise capital from investors in 2021. The total offering amount was purportedly $30,000,000 according to the Reg D filing.

Risks of Investing in REG D Private Placements – CSOZ Northern Boulevard

Private placement investments such as CSOZ Northern Boulevard, LLC are typically illiquid investments. There are often legal or contractual restrictions on your ability to transfer your holdings, and even if sale of your holdings is permitted there may be no buyers.

You may need to hold these securities for an indefinite period of time. Companies that issue unlisted securities may provide little or no transparency into their ongoing operations and financial condition. While some private placement investments may make periodic distributions, some may not make any.

Broker Due Diligence

Brokerage firms are required to perform adequate due diligence on any investment they recommend and to ensure that all recommendations are suitable for the investor considering that investor’s age, investment experience, net worth, risk tolerance, investment objectives, and income.

Firms that fail to perform adequate due diligence or that make unsuitable recommendations can be held responsible for investment losses in a FINRA arbitration claim.

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FINRA Arbitration

FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees the securities industry in the United States. If your broker has defrauded you, you may be able to file a claim with FINRA to seek resolution through arbitration.

Having a securities attorney to assist you with FINRA arbitration is highly recommended, even though it’s not mandatory. The intricacies of FINRA arbitration can be challenging to navigate, and a skilled attorney with expertise in securities law can significantly enhance your prospects of a successful outcome.

The White Law Group can help you evaluate the strength of your case, draft a well-structured statement of claim that accurately presents your allegations of fraud and desired damages, and provide representation during the arbitration hearing by presenting evidence and making compelling arguments on your behalf. Additionally, an attorney can engage in negotiation efforts for a potential settlement before the arbitration process begins.

Opting for a securities attorney ensures that your rights are safeguarded throughout the arbitration process, maximizing your likelihood of achieving a favorable resolution.

Free Consultation with a Securities Attorney

This information is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. We represent investors in all 50 states in claims against their brokerage firms.