DISCLAIMER - LEGAL - ORDER ROUTING - BCP - PRIVACY
Disclaimer
Securities, as well as any particular investment, may not be suitable or appropriate for everyone. With respect to any investment or security which appears herein we urge you to carefully evaluate its appropriateness to your situation either with your financial advisor or ask us for a free consultation and review of your portfolio. These are sophisticated investments with inherent risks. Prices, ratings and yields are subject to change at any time. Prices and availability are indicative only and subject to change without notice.
Information herein is believed to be reliable but Dinosaur Securities LLC does not warrant its completeness or accuracy. Opinions and estimates constitute our judgment and are subject to change without notice. Past performance is not indicative of future results. This material is not intended as an offer or solicitation for the purchase or sale of any financial instrument. Dinosaur Securities and/or its affiliates and employees may hold a position in the financial instruments of any issuer discussed herein or act as an underwriter, placement agent, advisor or lender to such an issuer.
Legal Notices / Order Routing
The SEC has recently adopted Rule 11Ac1-6, which requires
all broker-dealer firms to make publicly available their order routing
practices. The Dinogroup's order routing is done through:
(1) Penson Financial Services; their information is available for review by clicking
here
(2) National Financial Services; their information is available for review by clicking
here
DINOSAUR GROUP PRIVACY POLICY
Dinosaur Group and its affiliated companies value our customers, and maintaining customer trust and confidence is our highest priority. While it is necessary that we obtain accurate and current information about our customers in order to provide the highest level of customer service, we are dedicated to protecting the privacy and confidentiality of our customer's information.
Dinosaur Group will never sell your personal information to anyone. We will not use or distribute your personal information in any way without prior notification to you. We promise that we will uphold the privacy policies and procedures as set forth below.
Information we collect about our Customers: The personal information we collect from you comes from information you supply to us in account opening applications (whether written or electronic), or in other forms you may provide to us. This information may include your name, address, social security number or tax identification number, account number, account balances and financial information about you.
Information we may share about our Customers: Dinosaur may share personal information about our current and former customers with our affiliated companies and service providers around the world. (Dinosaur affiliated companies include our subsidiaries, foreign correspondents and branch offices.) In either case, your personal information will remain subject to the strictest confidentiality protections.
To the extent that we may engage unaffiliated companies to assist in providing services on our web site, such providers will be subject to stringent contractual requirements to maintain the confidentiality of any personal information they may obtain in connection with the performance of their services for us. Such service providers will only be allowed to use personal information in the course of providing services to Dinosaur and only for the purposes that we authorize.
Right to Opt Out of Information Sharing: If you prefer that we do not disclose your nonpublic personal information to unaffiliated third parties, you may opt out of those disclosures; that is, you may direct us not to make those disclosures (other than disclosures permitted or required by law). If you wish to opt out of disclosures to nonaffiliated third parties, you may write to us at optout@dinogroup.com stating that you wish to opt out of all information sharing of your personal information. Alternatively you may fax a request to 312-373-6256 stating: "I do not wish to share personal information with nonaffiliated third parties." Please include your account number, the name as it appears on your statement and if applicable an email address.
Information we may disclose: we may disclose information about current or former customers in order to cooperate with legal or regulatory authorities or pursuant to a court order or subpoena.
We may also disclose personal information as necessary to perform credit checks, collect debts, enforce our legal rights or otherwise protect our interests and property.
Security: Dinosaur is committed to protection of your personal information and to protecting your privacy. Only authorized Dinosaur employees or agents will have access to your personal information. All of our employees, affiliates and service providers are held to the highest standards of privacy and security. Only authorized employees have access and any unauthorized dissemination of nonpublic personal information shall result in termination of an employee.
If our privacy policy changes, you will be notified through the Dinosaur web site or by other appropriate means. If you have questions relating to this policy, please contact your Dinosaur representative.
