Bradley Reifler — Closed-end Mutual Fund

Bradley C. Reifler Allegedly Operated a Closed-end Mutual Fund, Forefront Income Trust, a Fund that Reifler Purportedly Created while Associated with His Member Firm, Forefront Capital Markets

Bradley Reifler, of New York, New York, allegedly operated a closed-end mutual fund, Forefront Income Trust, a fund that Reifler purportedly created while registered with FINRA as a General Principal and a General Securities Representative with Forefront Capital Markets, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Jason Kane and James Booker.

Peiffer Wolf Carr & Kane securities practice lawyers are investigating Bradley Reifler’s alleged closed-end mutual fund.

Investors who believe they may have lost money in activity related to Bradley Reifler’s alleged closed-end mutual fund are encouraged to contact attorneys Jason Kane or James Booker with any useful information or for a free, no obligation discussion about their options.

Reifler’s alleged closed-end mutual fund was purportedly marketed as a high-yield fund that would provide non-accredited investors access to those investment opportunities previously reserved for the so-called one percent, according to the aforementioned Complaint.

FINRA allegedly opened an investigation of the aforementioned closed-end mutual fund in order to determine whether FINRA member firms or persons associated with FINRA member firms (collectively FINRA Members) had solicited and executed the closed-end mutual fund investments, the Complaint notes.

FINRA’s investigation into Reifler also allegedly sought to to determine whether  FINRA Members had performed due diligence on the closed-end mutual fund, and whether FINRA Members had determined the suitability of the closed-end mutual fund investments for investors, the Complaint reports.

Bradley Reifler, Founder of Forefront Capital Markets LLC, Allegedly Failed to Comply with his Obligation to Provide Full and Complete Testimony by Refusing to Answer Questions Posed by FINRA during On-the-record Testimony

Bradley Reifler allegedly failed to comply with his obligation to provide full and complete testimony by refusing to answer questions posed by FINRA during on-the-record testimony, according to the aforementioned Complaint being reviewed by attorneys Jason Kane and James Booker.

Reifler, by refusing to answer many questions posed regarding his involvement in the closed-end mutual fund and the use of the closed-end mutual fund investors’ money, allegedly violated FINRA Rules and therefore FINRA has ordered that Reiller bear such costs of proceeding as are deemed fair and appropriate under the circumstances in accordance with FINRA Rules, the Complaint states.

Securities Lawyers Investigating

The Peiffer Wolf Carr & Kane securities lawyers often represent investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Bradley Reifler’s alleged closed-end mutual fund. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Bradley Reifler’s alleged closed-end mutual fund may contact the securities lawyers at Peiffer Wolf Carr & Kane, Jason Kane or James Booker, for a free no-obligation evaluation of their recovery options, at (585) 310-5140 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

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In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.