If you lost funds with ARI Financial Services or investing in Bridgeport Oaks, please call toll-free 1-866-817-0201. Deficiencies at ARI caused dissemination of misleading sales materials concerning Bridgeport Oaks by issuer-reps and failed to ensure that distributed material contained sufficient disclosures. The firm also failed to prevent illegal general solicitation of unregistered securities.
Additionally, managers of ARI failed to conduct reasonable due diligence regarding investments sold.  One such investment was later revealed to be a Ponzi scheme.
We specialize in the pursuit and recovery of funds lost in investment fraud.
3. The Firm failed to establish and maintain a supervisory system reasonably
designed to ensure that delegated supervisory responsibilities were properly exercised by Private
Placement issuers’ employees. Candler was the registered principal responsible for establishing,
maintaining and enforcing the Firm’s written supervisory policies and procedures (WSPs) during
the Relevant Period.
4. As a result of the deficiencies in its supervisory system, ARI failed to identify and
prevent the dissemination of misleading and imbalanced advertising and sales materials by the
issuer-reps and failed to ensure that the offering materials prepared and distributed by the issuerreps
contained sufficient and accurate disclosures. The Firm also failed to prevent the general
solicitation of unregistered securities offered under the Regulation D Rule 506 exemption.
5. Additionally, Candler failed to conduct reasonable due diligence regarding a
Private Placement that ARI sold directly to retail investors. The offering was later discovered to
be a Ponzi scheme. At least seven Firm customers who purchased interests in the offering from
an issuer-rep lost their collective investment principal of approximately $560,000.
3. The Firm failed to establish and maintain a supervisory system reasonably
designed to ensure that delegated supervisory responsibilities were properly exercised by Private
Placement issuers’ employees. Candler was the registered principal responsible for establishing,
maintaining and enforcing the Firm’s written supervisory policies and procedures (WSPs) during
the Relevant Period.
4. As a result of the deficiencies in its supervisory system, ARI failed to identify and
prevent the dissemination of misleading and imbalanced advertising and sales materials by the
issuer-reps and failed to ensure that the offering materials prepared and distributed by the issuerreps
contained sufficient and accurate disclosures. The Firm also failed to prevent the general
solicitation of unregistered securities offered under the Regulation D Rule 506 exemption.
5. Additionally, Candler failed to conduct reasonable due diligence regarding a
Private Placement that ARI sold directly to retail investors. The offering was later discovered to
be a Ponzi scheme. At least seven Firm customers who purchased interests in the offering from
an issuer-rep lost their collective investment principal of approximately $560,000.
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