Close Menu
Free Consultation: 888-976-6111
Home > Product Types > Private Securities

Private Securities

Private securities are securities that do not trade on national securities exchanges or in the over-the-counter markets. Many of these securities are issued pursuant to Regulation D, also known as “Reg D.” Securities in the United States must be registered with the Securities and Exchange Commission, unless they fall under the Reg D exemptions. Regulation D provides exemptions from registration. For instance, Rule 506 allows companies to raise money from “accredited” or sophisticated investors.

Investing in private securities can involve significant risks not associated with investing in publicly traded securities. For instance, it is often difficult to obtain information and updates on private securities. Private securities issuers are not required to provide investors with the same detail of information as securities that are publicly traded. The lack of information makes the investment riskier.

Private securities are also often illiquid – meaning it may be difficult to sell your investment quickly at and at a fair price. In fact, if you wish to sell your investment, there may not be any willing purchasers at a fair price. The lack of liquidity can cause volatile price fluctuations and increases the risk of the investment.

Although Reg D offerings do not have to be registered with the SEC, the companies still must file a Form D with the SEC. The Form D is a simplified form that includes details about the offering and the names of the company’s executives, directors, and investment promoters.

We have successfully represented many investors who lost money due to investing in private securities. Please contact us for a free and confidential case evaluation if you believe that you have lost money due to investing in private securities.

Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Nicholas Stovall: FINRA Bars Ex-Gradient Advisor

    Former Arden Hills, Minnesota financial advisor Nicholas Stovall (CRD# 5581487) was recently sanctioned and barred in connection with allegations that...

    Read More
  • Joseph Tranchina: FINRA Suspends Forte Financial Advisor

    Holmdel, New Jersey financial advisor Joseph Tranchina (CRD# 6085344) was recently sanctioned and suspended in connection with alleged rule violations....

    Read More
  • John Larsen: Raymond James Advisor Faces $3mm Complaint

    Scottsdale, Arizona financial advisor John Larsen (CRD# 2700922) recently received an investor complaint alleging that his trading resulted in seven-figure...

    Read More
  • Chris Polimeni: $1.6mm Complaint Against WIS Advisor

    Irvine, California financial advisor Chris Polimeni (CRD# 1643121) recently received an investor complaint alleging that he converted a customer’s assets....

    Read More
  • Previous
  • Next