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 ...

Some common examples of private placements include: Real Estate Investment Trusts (REITs) Non-Traded REITs Hedge Funds Equipment Leasing Agreements Tenants-in-Common Various oil and gas limited partnerships Video Transcript: A private placement is a security that's sold to an investor that ...

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 ...

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 ...

II FS Energy and Power Fund GPB Capital Holdings Private Placement Funds Northstar Healthcare Income Real Estate Investment Trust (REIT) UWT or VelocityShares 3x Long Crude Oil ETN Vida Longevity Fund, LP Northstar Financial Services (Bermuda) Although market volatility can ...

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 ...

Our Gulfport securities lawyers have successfully represented investors in disputes over losses involving numerous types of securities and investment products, including: Stocks and bonds Mutual funds Structured products Alternative investments Real estate investment trusts (REITs) and non-traded REITs Mortgage-backed securities ...

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.

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.

We have gone up against broker-dealers all over the United States, including the biggest Wall Street firms, to collectively recover many millions of dollars on behalf of thousands of investors who suffered losses in: Annuities Alternative investments Stocks and Bonds ...