ATEL Growth Capital Fund 9 Investigation

ATEL Growth Capital Fund 9 Investment Losses

Are you concerned about your investment in ATEL Growth Capital Fund 9? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment.

ATEL Capital Group, a financial services company, offers its clients equipment leasing, asset-based lending, venture leasing, lease administration, and asset management, according to its website. The company claims to have “developed broad access to the capital markets, including a network of more than 5,000 FINRA-registered broker-dealer firms through which we provide alternative investment capital to our corporate clients in the U.S. and abroad.”

According to SEC filings, the company filed a Form D for the offering ATEL Growth Capital Fund 9, to raise capital from investors in 2014.

Investments such as these are typically sold by brokerage firms in exchange for a large up front commission. High fees can range from 7-10%, as well as additional “due diligence fees” that can range from 1-3%. In this case, sales commissions are estimated at 9%, according to the Form D.

The problem with private placement investments such as ATEL Growth Capital Fund 9 is that they typically involve a high degree of risk. They are also often sold as unregistered securities which lack the same regulatory oversight as more traditional investment products like stocks or bonds.

Investigating Potential Claims

The White Law Group is investigating the liability that FINRA registered brokerage firms may have for improperly recommending high-risk private placements, like ATEL Growth Capital Fund 9 to investors.

Broker dealers are required to perform adequate due diligence on any investment they recommend and to ensure that all recommendations are suitable for the investor. Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim.

If you have concerns regarding your investment in ATEL Growth Capital Fund 9 and would like to speak with a securities attorney about your options, please call 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 with offices in Chicago, Illinois and Franklin, Tennessee.

For more information on The White Law Group and its representation of investors in FINRA arbitration claims, please visit https://whitesecuritieslaw.com.