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Search Results: oil and gas
Results 1-10 of about 23
Over the years, we have collectively recovered many millions of dollars for thousands of clients related to: Alternative investments Stocks and Bonds Real estate investment trusts (REITs) and Non-traded REITs Private Placements Annuities Oil and Gas investments Trading strategies that ...
JARVIS AVENUE, CHICAGO, IL 60645 Mailing Address: P O BOX 1937, EVANSTON, IL 60204-1937 KAIZAN CAPITAL CORP. 2410 CAMINO RAMON, SUITE 175, SAN RAMON, CA 94583 KALIN ASSOCIATES, INC. 6 BIRCHWOOD LANE, KINGS POINT, NY 11024-1719 KALORAMA CAPITAL, LLC 1718 ...
The two non-public limited partnerships were set up to acquire and develop oil and gas natural properties. They are sold exclusively by broker-dealer David Lerner Associates and its registered representatives to the firm’s customers.
It is also one of the three energy and gas-related investments, sold only by this broker-dealer, that has cost customers significant financial losses. The other two are Energy 11, LP and Energy Resources 12, LP , which are both non-traded ...
Some Examples of Investments That Have Been Sold Away to Customers Private placements Oil and gas investments Unregistered securities Real estate investments Promissory notes Shares in small businesses and startups Three FINRA Rules Related to Selling Away FINRA Rule 3270 ...
However, if you are a retiree with a conservative risk tolerance level and you are the one who asked your broker to trade in oil and gas investments for you, these would be considered as unsolicited transactions.
Sponsored by FS Investment Solutions, FS Energy & Power Fund (FSEP) —also known as the Franklin Square Energy & Power Fund — is a non-traded business development company (non-traded BDC) that invests in the debt and equity securities of private ...
All of these are heavily concentrated non-traded oil and gas investments. The oil, gas, and energy sectors were already experiencing turbulence for some time when Covid-19 struck, causing these areas to take an even deeper downturn. Since then, many investors ...
Topics addressed as a speaker include, but are not limited to: General Unsuitability in Client Portfolios Discovery in FINRA Arbitrations Oil and Gas Master Limited Partnerships Financial Product liability Outside of the courtroom, Kirk is a Cross-Fit enthusiast and enjoys ...
Master Limited Partnerships ("MLPs") are generally associated with the Oil and Gas industry. Usually, these entities trade publicly on stock exchanges such as the New York or American exchanges. However, there are privately traded MLPs. Most MLPs focus on pipelines ...
