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The Risks of Securities Backed Lines of Credit

Robert Linkin

By Robert Linkin | January 21, 2016

Complex Litigation, Securities Litigation

An increasing number of securities firms are marketing and offering securities-backed lines of credit, or SBLOCs, to investors. SBLOCs can be a key revenue source for securities firms, especially in times of solid market returns and growing investment portfolios, when investors may feel more comfortable leveraging their assets. Firms market SBLOCs as a type of…

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North American Securities Administrators Association Warn of Top Threats to Investors in 2016

Robert Linkin

By Robert Linkin | January 19, 2016

Complex Litigation, Securities Litigation

The North American Securities Administrators Association (NASAA) has released its list of the top threats to investors in 2016.  NASAA urged investors to be particularly careful when approached with unsolicited investments, especially those involving promissory notes, oil and gas deals and real estate investment opportunities, including non-traded real estate investment trusts. “Investing is serious business,”…

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Dallas Based WFG Investments Fined by Texas Securities Board

Robert Linkin

By Robert Linkin | September 30, 2015

Complex Litigation, Securities Litigation

The Texas State Securities Board has reprimanded and fined WFG Investments Inc. $175,000 for failing to determine whether the sales of alternative investments exposed clients to excessive risk. Specifically, the Disciplinary Order, entered Sept. 3rd by Securities Commissioner John Morgan, found WFG violated supervisory procedures it established to make sure its registered agents were selling…

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