TradeWallStreet Financial - Account Protection and Security

Brokerage Insurance and SIPC Protection

All client funds are deposited with top-rated and secure financial institutions. Customer funds are deposited with JP Morgan Chase Bank. Penson Financial Services, Inc. (PFSI) has also acquired “Excess SIPC” insurance from a third party insurer to protect client accounts up to their net equity for loss of securities and cash held at Penson Financial Services, Inc. (PFSI), up to an overall firm aggregate of US $200,000,000 over all customer accounts. This “Excess SIPC” protection is in addition to the protection provided by the Securities and Investors Protection Act, which is administered by SIPC, and is subject to certain conditions and limitations, details of which are available upon request. The above coverage does not protect against loss of the market value of securities.

Account Regulation

TWS Financial, LLC is accountable to the stringent standards of capital adequacy and financial reporting and is regulated by the financial services industry. TWS Financial, LLC is a member of the FINRA, SIPC, NASDAQ, NYSE EURONEXT, National Futures Association (NFA) and is regulated by the Commodity Futures Trading Commission (CFTC).

Email Spoofing/Fraud

Trade Wall Street Financial will never request updates to account information or request sensitive data such as social security numbers, credit card information, or birth date by email. To question or report any suspicious activity, contact TWS at 1.800.776.1018.

Business Continuity Plan

We have developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at phone# 1-800-776-1018 or email twsaccountmanager@tradewallstreet.com. You should call our alternative number or go to our web site at http://www.tradewallstreet.com. If you cannot access us through either of those means, you should contact our clearing firm, Penson Financial Services, Inc. (PFSI) at 1-214-765-1100 or go to the web site at http://online.penson.com for instructions on how it may help to provide you prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions. A copy of our business continuity plan is available by contacting twsaccountmanager@tradewallstreet.com.

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Trust in Trade Wall Street Financial.

Members FINRA, SIPC, NASDAQ, NYSE Euronext, and NFA. Tel: 1(800)776-1018 or (202)449-7260

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For Finra brokercheck please see www.finra.org. All accounts are SIPC Protected for $500,000 Securities, including $100,000 claims for Cash. Penson Financial Services, Inc. (PFSI) has also acquired “Excess SIPC” insurance from a third party insurer to protect client accounts up to their net equity for loss of securities and cash held at Penson Financial Services, Inc. (PFSI), up to an overall firm aggregate of US $200,000,000 over all customer accounts. This “Excess SIPC” protection is in addition to the protection provided by the Securities and Investors Protection Act, which is administered by SIPC, and is subject to certain conditions and limitations, details of which are available upon request. The above coverage does not protect against loss of the market value of securities. System response, trade executions and account access may be affected by market conditions, system performance, quote delays and other factors. The risk of loss in electronic trading can be substantial. You should therefore consider whether such trading is suitable for you in light of your financial resources. Money Market Funds are not FDIC Insured. Tradewallstreet.com is a stock brokerage company, for active trading and electronic online investing. Read our Risk Disclosures Third Party Quotes and Research page provided in part by Vector2000 Stock Systems and Askchart.com and Quotemedia.

Although the material contained herein has been prepared from sources and data that we believe to be reliable, neither the author(s), TradeWallStreet Financial, nor any of their respective affiliates makes any representations or warranties with respect to the accuracy, completeness, or timeliness of this information, and it should not be relied upon as such. Neither the author(s), TradeWallStreet Financial, nor any of their respective affiliates is responsible for any errors or omissions, and specifically disclaim all warranties, including without limitation, warranties of fitness for a particular purpose. Furthermore, neither the author(s), TradeWallStreet Financial, nor any of their respective affiliates makes any guarantee or other promise as to any results that may be obtained from using this information.

The material has been prepared or is distributed solely for informational purposes and does not constitute an offer, obligation, solicitation, or investment advice. This material is not to be construed as investment services in any jurisdiction where such offers or solicitations would be illegal. TradeWallStreet Financial and affiliated persons assume no responsibility, and shall not be liable, for any use of the above information.

The opinions expressed are those of the author(s) and are not necessarily those of TradeWallStreet Financial. Opinions and estimates are as of a certain date and subject to change without notice. The financial product or strategy described above is intended only for experienced and qualified investors. Individual investments, investment services, or strategies mentioned herein may not be suitable or appropriate for every investor or every situation. You should not make any investment decision without first consulting your financial advisor and conducting your own research and due diligence, including carefully reviewing the prospectus and other public filings of the issuer. While past performance may be analyzed, past performance should not be considered indicative of future performance. Investing in capital markets involves substantial risk. You should be aware that investments can fluctuate in price, value and/or income, and you may get back less than you invested.

The fact that an organization or website may be referred to as a citation and/or a potential source of further information does not mean that the author(s), TradeWallStreet Financial, or any of their respective affiliates endorse the information the organization or website may provide or recommendations it may make.

Copyright © 1998-2009, TradeWallStreet Financial, Washington D.C., USA. All rights reserved. Proprietary, not to be reproduced, transferred or distributed in any form without prior written permission from TradeWallStreet Financial. The following is delivered on an "as is" basis without warranty. It is not an offer, solicitation, or recommendation to purchase any security or the services of any organization unless otherwise noted. TradeWallStreet Financial and/or its employees may buy, hold, trade or sell any security or financial instrument described herein..

TradeWallStreet Financial is a subsidiary of TWS Financial, LLC, a member of the Financial Industry Regulatory Agency (FINRA) and the Securities Investors Protection Corporation (SIPC).