In the same vein, firms can recommend a line of credit, also known as a securities-backed line of credit (SBLOC), instead of a margin, but the principle is the same. In a recent matter, the client had almost a million ...

Many SBLOC Investors Not Apprised of Risks If you are an investor who suffered significant losses from securities-backed line of credits (SBLOCs) and your brokerage firm and their broker neglected to tell you about the risks involved, our investment fraud ...

In an Investor Alert , the Financial Industry Regulatory Authority and the US Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) sought to inform investors about the risks involved in securities-backed lines of credit (SBLOCs) .

The Financial Industry Regulatory Authority and the Securities and Exchange Commission’s’ Office of Investor Education and Advocacy has issued an investor alert recommending that investors get to know the risks before deciding to invest in securities-backed lines of credit, also ...