1050 OZ A LLC – Securities Investigation  

Investigating Claims – 1050 OZ A LLC 

The White Law Group is investigating potential securities claims involving broker-dealers who may have improperly recommended 1050 OZ A LLC to investors.  

1050 OZ A LLC is a private placement investment. The company reportedly filed a Reg D in 2019 to raise capital from investors. The total offering amount sold to investors was purportedly $10,625,000. The form D indicates that 1050 OZ A LLC is a real estate fund. 

Regulation D (Reg D) private placements such as 1050 OZ A LLC are a type of securities offering that allows companies to raise capital from investors without having to go through the rigorous and expensive process of registering with the Securities and Exchange Commission (SEC). While investing in Reg D private placements can offer potential rewards, there are also risks that investors need to be aware of  

Risks of Investing in Reg D Private Placements like 1050 OZ A LLC 

Unlike publicly traded securities, Reg D private placements are not listed on any exchange, which means that they are illiquid investments. This lack of liquidity can make it difficult for investors to sell their shares, especially if they need to do so quickly.  

Since Reg D private placements are exempt from SEC registration requirements, companies offering these securities are not required to provide the same level of disclosure that publicly traded companies do. As a result, investors may not have access to all the information they need to make informed investment decisions.  

Many Reg D private placements are high-risk investments that may not be suitable for all investors. These securities often involve early-stage companies or new ventures that are unproven, making them more susceptible to failure or loss.  

Reg D private placements are not subject to the same regulatory oversight as publicly traded securities, which means that investors may have fewer protections in the event of fraud or other illegal activities.  

They are also typically sold under Rule 144, which places restrictions on the resale of securities. This means that investors may be unable to sell their shares for a certain period or may be limited in the number of shares they can sell. They also typically have various fees such as finders’ fees and admin. fees plus sales commissions.   

Investing in Reg D private placements such as Park Row 23 Fund can be a high-risk, illiquid, and speculative endeavor. As with any investment, it is important for investors to conduct thorough due diligence, seek professional advice, and carefully consider the risks before investing in Reg D private placements.  

Broker Due Diligence  

Broker due diligence is a process undertaken by brokerage firms to ensure that they are recommending and selling investment products that are appropriate for their clients. The purpose of this process is to protect the interests of the brokerage firm and its clients by ensuring that the investments being offered are suitable for the client’s investment objectives, risk tolerance, and financial situation.  

Broker due diligence is an essential step in protecting the interests of both the brokerage firm and their clients. By carefully reviewing investment products and assessing their suitability for clients, brokerage firms can help ensure that their clients make informed investment decisions that align with their investment objectives and risk tolerance.  

If you believe that your broker failed to do due diligence on your investment, and you suffered losses as a result, you may be able to file a FINRA claim. FINRA is the Financial Industry Regulatory Authority, which is a self-regulatory organization that oversees the securities industry in the United States.  

Securities Attorneys to file a FINRA Claim  

The securities attorneys at the White Law Group can help you file a FINRA claim by providing legal guidance and representation throughout the process.   See: What Does a Securities Attorney Do?

The process is straight forward: our attorneys will evaluate your case and help you determine whether you have a strong claim against your broker. Our firm can review your investment documents, account statements, and other evidence to determine whether your broker breached their duty of care and caused you to suffer financial harm.  

If you have a viable claim, the securities attorneys at the White Law Group can help you prepare and file the FINRA claim. This includes drafting a statement of claim that outlines the allegations against your broker and the damages you are seeking.  

After the claim is filed, your securities attorney can represent you in negotiations with your broker and their attorneys. They can work to reach a settlement that provides you with the compensation you deserve for your losses. If a settlement cannot be reached, your securities attorney can represent you in FINRA arbitration or court litigation. They can prepare and present evidence on your behalf, cross-examine witnesses, and make legal arguments to support your case.  

If you are concerned about your investment in 1050 OZ A LLC, the securities attorneys at the White Law Group may be able to help you. To speak with a securities attorney, please call the offices of the White Law Group at (888)637-5510.    

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases.  The firm has offices in Seattle, Washington and Chicago, Illinois and reviews securities cases across the country.