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Search Results: oil and gas

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Selling Away

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 ...

Overconcentration Leading to Investment Losses

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.

Elder Financial Abuse by Brokers and Investment Advisers

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 ...

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