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
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.
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