Triton Pacific Income & Growth Fund IV Securities Investigation

Triton Pacific Income & Growth Fund IV Investigating Potential Lawsuits

Are you concerned about your investment in Triton Pacific Income & Growth Fund IV, LP? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment.

Triton Pacific Investment Corporation (TPIC), a Business Development Company (BDC),  generates growth and income by investing in both debt and equity securities of small and mid-size private businesses.

Triton Pacific Investment Corporation has sponsored several private placements to raise capital through the sale of equity or debt securities without having to register their securities with the SEC. These investments are often riskier and more complicated than traditional investments, and are only suitable for high net worth, sophisticated investors.

Despite the risks of investing in private placements, brokerage firms continue to push this type of investment because of the high commissions associated with their sale and creation.

According to SEC filings, the company filed a Form D to raise capital from investors for the offering Triton Pacific Income & Growth Fund IV. The offering type was reportedly equity and pooled investment fund interests. Triton Pacific Securities, Commonwealth Financial Network, and VSR Financial  were purportedly sales compensation recipients for the fund, according to the Reg D.

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%.

Is a private placement investment suitable for you?

The problem with private placement investments such as Triton Pacific Income & Growth Fund IV 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.

The White Law Group is investigating the liability that FINRA registered brokerage firms may have for unsuitably recommending high-risk private placements to investors.

Despite the risks of investing in private placements, brokerage firms continue to push this type of investment because of the high commissions associated with their sale and creation.

If you have concerns regarding your investment in Triton Pacific Income & Growth Fund IV 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 is a national securities fraud, securities arbitration, and investor protection 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.