30320 Rancho Viejo Road, Suite 11
San Juan Capistrano, CA 92675
Phone: 800-510-2055
Email: compliance@multiplefinancial.com

Private Placements


Mergers & Acquisitions

Investment Banking – Private Placements

Consumer Caution and Investor Scrutiny strongly advised.

Our Broker Dealer Firm occasionally markets a Private Placement Offering with many degrees of risk and returns. We market to a large number of Institutionals; and on the individual side, only to a select group of Sophisticated Investors. We evaluate the Suitability of both the Customer and the Issuer’s Product and utilize the same compliance procedures that we would afford a Non-Accredited Investor. When necessary, we will also form a Selling Group and obtain assistance from others in the Broker Dealer community. Our chief goal is to offer our customers due diligent review and protection, while providing a reasonable opportunity for success.


We will never lead you to believe otherwise or make an exception to this fact in our marketing or representation of a Private Securities Offering. This is not an area for investment by the average investor but is designed and marketed to only the most highly accredited and sophisticated investors!

Be very careful about registered representatives who may say that a particular private placement is authorized or approved by a broker dealer firm. Always call the Broker Dealer to be sure that the Private Placement Offering is approved by the Broker Dealer and the Individual approaching you with such an investment opportunity is actually approved to be talking to you about it.

Before we ever market or offer new Private Placement Securities, our Chief Risk Officer and our Mergers & Acquisitions Principal will conduct an intensive investigation into the offerings’ authenticity and credibility. This may involve outside certified audits and financial statements, background checks into the owners and original shareholders of the company, department of justice criminal records, credit reports, Dunn & Bradstreet information, DMV reports, insurance reports, MIB information, personal interviews with the owners and officers of the company, personal financial statement analysis, both personal Officer’s and Director’s as well as Corporate Tax Returns, etc. To support our internal investigations and review, we may outsource additional requests to independent third party investigators, insurance analysts, outside legal counsel and accountants, etc. to confirm our findings and recommendations.

The new Private Offering will undergo a thorough examination by the Compliance Department and the Anti-Money Laundering Compliance Department of the Broker Dealer as well and after approval for marketing and placement, the Private Offering will continue to be monitored and periodic reporting and financial filings will be required by the Compliance Department. The issuer is expected to cooperate fully with the Compliance Department of Multiple Financial Services by providing any other documents that it may have available, such as outside legal opinions, recommendations and reviews by other investment advisors, etc. Other information that will be required will be: the experience of the officers, personal credit ratings, background checks, credit ratings and credibility and reputation, expertise in their field, nature of potential risks involved, company proformas and projections, certified audits, legal documentations, third party opinions, paper trails and other historical data if available, general ledgers and trial balances for internal review, history of the issuer and its officers, etc.

You cannot be too careful when it comes to investing in private placement securities. Few companies actually return your investment and most fail so that you will never realize a return of your investment much less any other gain or reward.

WARNING! No matter how good the recommendation, all private placements and restricted securities, with legends and conditions printed on the Certificate limiting the transfer or sale of its securities, are high risk investment vehicles and every caution and scrutiny must be exercised before investing in these particular products.

Once we are satisfied, we then forward all of the information as to the Private Placement to our E&O Insurer to obtain their approval and then submit any written sales information that we intend to use to FINRA for review. Once the insurance company is satisifed with the issuer’s financial stability and opportunity for success, the final marketing material is then reviewed by FINRA and only then, do we actually begin to market the product to you, the sophisticated investor.

Only then do we list the particular Private Placement Offering herein below as an approved Offering for sale and then only by a select group of registered representatives, properly qualified to sell such products and specifically authorized by our broker dealer firm to represent and market said Private Placement.