August 10, 2017 Comments (0) Blog, Current Investigations, Securities Fraud

VII Peaks Capital | Investigation

VII Peaks Capital | Investigation, Featured by Top Securities Fraud Attorneys, The White Law Group

VII Peaks Capital Private Placement Offerings

Are you concerned about your investment in VII Peaks Capital? If so, The White Law Group may be able to help you by filing a FINRA arbitration claim against the brokerage firm that sold you the investment.

According to their website, the VII Peaks Capital was established in 2009, and is an investment management firm based in Orinda, California. The firm apparently invests primarily in discounted corporate fixed income securities and employs a “co-optivist” (co-operative activism) approach where they “act as cooperative, activist investors who work with senior management teams of target companies to proactively restructure their outstanding corporate debt.”

The company often raises capital through Reg D private placement offerings. According to SEC filings, Gurpreet Chandhoke and Stephen Shea are the Managers of VII Peaks Capital LLC.

The Problem with Reg D Private Placements

The problem with REG D Private placement investments like those offered by VII Peaks are they are exempt from registration with the Securities and Exchange Commission (SEC) and lack the same regulatory oversight as other investment products. These types of limited partnerships are also high-risk, speculative ventures that often lack liquidity. In addition, limited partnerships offer extremely high commission fees that are often 3-4 times higher than more traditional investments, like mutual funds or bonds.

The White Law Group is investigating the following VII Peaks offerings:

VII Peaks BDC Investors LLC
VII Peaks Capital LLC
VII Peaks Venture Capital I LLC
VII Peaks Venture Capital II LLC
VII Peaks Venture Capital III LLC
VII Peaks Venture Capital IV LLC
VII Peaks Venture Capital V LLC
VII Peaks Venture Capital VI LLC
VII Peaks-KBR BDC Advisor II LLC
VII Peaks-KBR Co-Optivist B Fund I LLC
VII Peaks-KBR Co-Optivist B Fund II LLC
VII Peaks-KBR Co-Optivist B Fund III LLC
VII Peaks-KBR Co-Optivist R Fund I LLC

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 in light of that particular 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 in a FINRA arbitration claim.

If you are concerned about your investment in a VII Peaks Capital offering and would like to discuss your litigation options, please call the securities attorneys of The White Law Group at 888.637.5510 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.  The firm represents investors in FINRA arbitration claims throughout the country.

For more information on the firm, visit https://www.whitesecuritieslaw.com.

 

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