The information contained herein is based upon sources believed to be reliable but is not guaranteed by us and is not considered to be all inclusive. It is not to be construed as an offer or the solicitation of an offer to sell or buy the securities mentioned herein. Morgan Joseph TriArtisan LLC, its affiliates, shareholders, officers, staff, and/or members of their families, may have a position in the securities mentioned herein, and, before or after your receipt of this report, may make or recommend purchases and/or sales for their own accounts or for the accounts of other customers of the Firm from time to time in the open market or otherwise. Opinions expressed are our present opinions only and are subject to change without notice. Morgan Joseph TriArtisan LLC is under no obligation to provide updates to the opinions or information provided herein. Additional information is available upon request.
Information on Order Routing
Unless you specifically direct us, we route your orders for execution to a marketplace where we believe, given the then current circumstances, your order will receive the most favorable execution. We do not receive any form of compensation from brokers or dealers to whom we may route your order. You may inquire of us in writing as to how any order we have handled for you in the past six months was routed. The SEC-required Report on this Firm's Routing of Customer Orders for the most recent quarter can be found at: Click here.
We value our relationship with you and appreciate your confidence in us and our ability to handle your information confidentially. If you have any questions about this notice or Complaints relating to our services, please contact Steven D. Blecher at +1 212 218 3733.
Morgan Joseph TriArtisan LLC is a broker-dealer registered with the U.S. Securities and Exchange Commission, the NASDAQ Stock Market and NYSE Arca, Inc. and is a member of the Securities Investor Protection Corporation (SIPC).
Morgan Joseph TriArtisan LLC Business Continuity Plan ("BCP")
Morgan Joseph TriArtisan LLC (“Morgan Joseph” or the “Firm”) is committed to safeguarding the interests of its customers, the safety of its employees, and the continuity of our business in the event of an emergency or significant business disruption.
Morgan Joseph conducts an investment banking business supported by investment research. Customer securities accounts are introduced to Southwest Securities Inc. on a fully disclosed basis, and Southwest Securities Inc. maintains the records of customer funds and securities. Southwest Securities Inc.'s Business Continuity Plan is posted here (and is accessed by clicking on the link for the Business Continuity Plan on the left hand side of the screen) and is mailed to new clients at the time an account is opened and is available upon written request. The Southwest Securities Inc. Business Continuity Plan encompasses backup sites for its mission critical systems and contemplates recovery times for these systems ranging between real time recovery and 4 to 12 hours.
This Morgan Joseph TriArtisan LLC Business Continuity Plan (“BCP”) is posted at www.mjta.com and is mailed to new clients at the time an account is opened and is available upon written request. However, keep in mind that our Business Continuity Plan will change to reflect changes in our business and the circumstances of a business interruption.
Unforeseen business interruptions can affect a single office, a business district, a city-wide area, or an entire region. Because Morgan Joseph conducts its business from four separate locations in four different cities, we believe that we are able to diminish the risks posed by local disruptions. In the event of a significant business disruption rendering a Morgan Joseph location inaccessible or inoperable, our strategy for continuing business is to first ensure the safety and security of all employees and then to continue critical business operations at predefined alternate sites.
The Firm is dependent upon the availability of power and telecommunications and certain computer systems to operate each of its facilities and is dependent upon others to supply these utilities. In addition, extreme weather conditions can result in personnel being unable to travel to our offices for work. In the event that one or more of our offices suffers a business interruption event, we intend to continue our business from our other locations, and, if necessary, will have key personnel displaced to these other facilities. If you are unable to contact our Firm utilizing your normal means of communication with us, please use the following telephone numbers as alternatives:
In New York City: 212-218-3700 or 212-218-3733
Or you may look at our website, www.mjta.com for current contact information.
In the event that you are totally unable to make contact with our Firm and need information regarding your securities account, please contact Southwest Securities Inc. at 214-859-6871 or 866-797-5227.
Our Firm’s BCP is highly dependent upon critical infrastructure and resources over which Morgan Joseph maintains no control, including, but not limited to: electricity, telecommunications, computer systems, water, external exchanges, market utilities, our clearing firm, and clearing houses. Morgan Joseph cannot guarantee that it will be able to fully implement the plans summarized herein if a significant business disruption results in substantial loss of life.
If you have any questions regarding our Business Continuity Plans, please contact Steve Blecher at 212-218-3733.
Margin Disclosure Statement
Your brokerage firm is furnishing this document to you to provide some basic facts about purchasing securities on margin, and to alert you to the risks involved with trading securities in a margin account. Before trading stocks in a margin account, you should carefully review the margin agreement provided by your firm. Consult your firm regarding any questions or concerns you may have with your margin accounts.
When you purchase securities, you must pay for the securities in full or you may borrow part of the purchase price from your brokerage firm. If you choose to borrow funds from your firm, you will open a margin account with the firm. The securities purchased are the firm's collateral for the loan to you. If the securities in your account decline in value, so does the value of the collateral supporting your loan, and, as a result, the firm can take action, such as issue a margin call and/or sell securities or other assets in any of your accounts held with the member, in order to maintain the required equity in the account.
It is important that you fully understand the risks involved in trading securities on margin. These risks include the following:
Instant Messaging Disclaimer
This message is intended only for the addressee. Please notify the sender by instant message if you are not the intended recipient. If you are not the intended recipient, you may not copy, disclose, or distribute this message or its contents to any other person and any such actions may be unlawful.
Please be advised that Morgan Joseph TriArtisan LLC (hereinafter "MJTA") is willing to use instant messenger ("IM") communication with you and your firm only as an accommodation to your business. If you choose to use IM to communicate with MJTA representatives you are agreeing to the following terms and conditions: