February 14, 2019 Comments (0) Blog, Current Investigations

RK Opportunity Fund IV Investigation

RK Opportunity Fund IV Investigation, Featured by Top Securities Fraud Attorneys, The White Law Group

RK Opportunity Fund IV  – Investigating Potential Lawsuits

Are you concerned about your investment in RK Opportunity Fund IV? If so, the securities attorneys at 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.

The White Law Group is investigation potential securities fraud claims involving broker dealers who may have improperly recommended high risk alternative investments such as RK Opportunity Fund IV to investors.

RK Opportunity Fund IV, LLC reportedly operates in the commercial real estate sector. The company was incorporated in 2016 and is based in Long Beach, California, according to Bloomberg.

According to filings with the SEC, RK Opportunity Fund IV filed a Form D to raise capital from investors in 2016. The offering type was equity.

Investments such as these are typically sold by brokerage firms in exchange for a large up front commission. High fees can range from 7-10%, as well as additional “due diligence fees” that can range from 1-3%.

The problem with private placement investments such as RK Opportunity Fund IV is that they typically involve a high degree of risk. They are also often sold as unregistered securities which lack the same regulatory oversight as more traditional investment products like stocks or bonds.

Unsuitable Investments?

Broker dealers are required to perform adequate due diligence on all investment recommendations. They must ensure that each investment recommendation that is made is suitable for the investor in light of the investor’s age, risk tolerance, net worth, financial needs, and investment experience.

Often brokers will misrepresent the basic features of the products – usually focusing on the income potential and tax benefits while downplaying the risks.

A broker or brokerage firm can be held liable if they make an unsuitable investment recommendation or fail to adequately disclose the risks. The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve such disputes.

Have you suffered investment losses in RK Opportunity Fund IV? If so, the securities attorneys at The White Law Group may be able to help you. Please contact The White Law Group at 1-888-637-5510 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 throughout the country in claims against their brokerage firm.

For more information on the firm and its representation of investors, visit www.WhiteSecuritiesLaw.com.

 

 

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