Oil and gas investments Real estate investment trusts (REITs) Non-traded REITs Master limited partnerships (MLPs) Private placements Junk bonds Alternative investments Mortgage-backed securities (MBS) Structured products Business development companies (BDCs) Many of these investments can be risky, volatile, and illiquid.

Oil and Gas Investment Fraud: Why Texas Investors Should Be Careful With a robust energy industry, oil and gas offerings are plentiful in Houston, Texas. These securities and investment products tend to be high risk and extremely vulnerable to market ...

Risky Investments: Investing a conservative senior's funds in risky investments, such as private placements, nontraded real estate investment trusts (nontraded REITs), exchange-traded funds (ETFs), business development companies (BDCs), structured products, oil and gas investments, collateralized loan obligations (CLOs), or collateralized ...

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 ...

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.

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 ...

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 ...

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 ...