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Written by 5:03 pm Blog, Securities Fraud Articles

Investigation into Falcon Enhanced Options Strategy Fund I

Have you suffered losses in Falcon Enhanced Options Strategy Fund? If so, the securities attorneys of The White Law Group may be able to help you recover your losses through a FINRA arbitration claim.

According to Form Reg-D filed with the Securities and Exchange Commission (SEC), Falcon Enhanced Options Strategy Fund is a hedge fund that is exempt from registration with the SEC. The unregistered fund was first sold in 2011.

Unregistered securities are inherently risky due to the lack of regulatory oversight. Compared to more traditional investments such as stocks or mutual funds, these speculative investments are generally more complexly structured and often considered high-risk products.

Broker-dealers have a responsibility to recommend securities products that are consistent with each individual client’s age, net-worth, investment objectives, financial needs, and risk tolerance. Unfortunately, it appears that some broker-dealers overlooked suitability requirements and industry regulations.

When broker-dealers overlook suitability requirements and industry regulations they may be liable for investment losses. If you invested in Falcon Enhanced Options Strategy and would like to discuss your litigation options, please call the securities attorneys of The White Law Group at (312)238-9650 for a free consultation.

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 White Law Group, visit www.whitesecuritieslaw.com.


Tags: , , , , , , Last modified: July 17, 2015