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Private Placements, Actors & Regulations

Private Placements, Actors & Regulations

by bsmith@carofin.com | May 14, 2018 | (Index) Alternative Investments - Background, Investor Support

The following reviews the principal regulations which govern Private Placement offerings of securities and describes allowable investor participants. Private Placements are Offerings of Securities.  The transaction and the related securities do not follow the public...
What is a Private Placement?

What is a Private Placement?

by bsmith@carofin.com | May 14, 2018 | (Index) Types of Alternative Investments, Investor Support

Below is a listing of the various categories of private Alternative Investments which comprise Carofin Offerings: CategoryDescriptionTargeted Investment Characteristics Structured Fixed IncomePromissory Notes supported by Collateral having liquidation value projected...
Alternative Investments: Common Challenges to Know Before Investing

Alternative Investments: Common Challenges to Know Before Investing

by bsmith@carofin.com | Apr 19, 2018 | (Index) Alternative Investments - Background, Columns, Investor Support

We get calls every week about another alternative investment opportunity. Maybe you do, too. Before investing in alternative investments, it might help to understand certain limitations and challenges in doing so. Complexity of Alternative Investments:  Alternative...
The SEC: Its Role with Private Equity and Private Finance

The SEC: Its Role with Private Equity and Private Finance

by bsmith@carofin.com | Apr 19, 2018 | (Index) Evaluating Issuers, Securities Explained

Enron. Bernie Madoff. WorldCom. Tyco International. Bre-X Minerals. Qwest Communications. Recognize these names? We’ve all heard the stories: rich schemers who deceive Investors, make false claims about their Companies, and pocket fraudulently generated profits while...
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© Copyright 2024 Carofin, LLC. All Rights Reserved

PRIVATE PLACEMENTS ARE HIGH RISK AND ILLIQUID INVESTMENTS. AS WITH OTHER INVESTMENTS, YOU CAN LOSE SOME OR ALL OF YOUR INVESTMENT.

Securities offered through Carofin, LLC. Carofin, LLC and Carolina Financial Securities, LLC are affiliated Broker-Dealers, Members of FINRA/SIPC, and subsidiaries of Carolina Financial Group, LLC. For more information on the services we offer and details associated with such services, please see our Customer Relationship Summary.

This site is published for residents of the United States only. Representatives may only conduct business with residents of the states and jurisdictions in which they are properly registered. Therefore, a response to a request for information may be delayed until appropriate registration is obtained or exemption from registration is determined. Not all services referenced on this site are available in every state and through every advisor listed. For additional information, please contact Craig Gilmore at 828.393.0088 x 520 and/or cgilmore@carofin.com

The information contained herein is for informational purposes only and is not intended for further distribution. The information does not constitute a complete description of any investment or investment performance. This webpage is in no way a solicitation nor is it an offer to sell securities nor is it advice or recommendation regarding any investment. The information is not directed to any person who is not believed to qualify under the definition of an Accredited Investor under the rules of Regulation D of the 1933 Securities and Exchange Act. No security listed on this webpage or otherwise offered through Carofin, LLC may be purchased without prior receipt of a complete Private Placement Memorandum or other official offers of sale.

Carolina Financial Securities and Carofin only offer one type of alternative investment, those sold as private placements. Nothing on this website should be interpreted to state or imply that past results are an indication of future performance nor should it be interpreted that FINRA, the SEC or any other securities regulator approves of any of these securities. Additionally, there are no warranties expressed or implied as to accuracy, completeness, or results obtained from any information provided on this website. Investing in private securities transactions bears risk, in part due to the following factors: there is no secondary market for the securities; there is credit risk; where there is collateral as security for the investment, its value may be impaired if it is sold.

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