Stockbroker Law - Tuesday, March 29, 2016
FINRA Releases Joint SEC Issue Investor Alert

In a news release dated December 21, 2015 the Financial Industry Regulatory Authority issued a Joint Investor Alert with the SEC posing ten questions investors should ask about securities backed lines of credit (SBLOC’s). These investments have been sold to small investors and are essentially loans made to investors collateralized by their portfolio holdings.

Securities-Backed Line of Credit investments carry considerable risk including tax consequences and the possibility of an outright sell out of the securities holdings collateralizing the loans in the event of a market decline. Market volatility and other financial market related risk factors can devastate the portfolio of a small investor who might have been improperly pitched a securities-backed line of credit loan arrangement.

We offer a free initial consultation to investors who feel they may have been victimized with the sale of a Securities-Backed Lines of Credit (SBLOC) (See Investor Alert: “Securities-Backed Lines of Credit – It May Pay to See Beyond the Pitch”). For a free initial consultation, contact the Law Offices of Timothy J. O'Connor at (518) 426-7700.


Blog Posts

Blog Post


Investment & Broker

Investment Misconduct



Private Company

Private Company Disputes


Personal Injury