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Emergency Contact Persons
Our firm’s two emergency contact persons are:
Edward J. Rappa, Tel: 212-832-6020, email:
Dennis C. Hynes, Tel: 212-832-6022,
email:
Business Description
Our firm conducts business in fixed income securities.
Our firm is an introducing firm and does not perform
any type of clearing function for itself or others.
Furthermore, we do not hold customer funds or securities.
We accept and enter orders. All transactions are sent
to our clearing firm, which executes our orders, compares
them, allocates them, clears and settles them. Our
clearing firm also maintains our customers’ accounts,
can grant customers access to them, and delivers funds
and securities. Our firm services only institutional
customers.
Our clearing firm is:
JP Morgan Clearing Corp.
Global Clearing Services
One Metro Tech Center North, 8th floor
Brooklyn, NY 11201
www.jpmorgan.com
In the event of a significant business disruption,
our customers may contact a BSSC representative at
(347) 643-4927 for liquidating orders, check and wire
requests, and ACAT transfers.
Office Locations
A. New York Location
Our New York Office is located at 520 Madison Avenue 28th
Floor New York, NY 10022. Its main telephone number is
212-832-6200 Toll Free: 800-627-4091 Fax: 212-832-6288.
B. Boston Location
Our Boston Office is located at 175 Federal Street, 9th
Floor, Boston, MA 02110. Its main telephone number is
617-482-9151. The fax number is 617-482-9152.
C. Chicago Location
Our Chicago Office is located at 10 South Riverside Plaza Suite
1826, Chicago, IL 60606. Its main telephone number is 312-474-7813.
The fax number is 312-474-6099.
Alternative Physical Location(s)
of Employees
In the event of an SBD, we will move our staff from affected
offices to any of our other offices at the closest possible
location from which we can service our customers.
Customers’ Access to Funds
and Securities
Our firm does not maintain custody of customers’ funds
or securities, which are maintained at our clearing firm,
Bear Stearns Securities Corporation. In the event of
an internal or external SBD, if telephone service is
available, our registered persons will take customer
orders or instructions and contact our clearing firm
on their behalf, and if our Web access is available,
our firm will post on our Web site that customers may
contact a BSSC representative at (347) 643-4927 for liquidating
orders, check and wire requests, and ACAT transfers.
The firm will make this information available to customers
through its disclosure policy.
Mission Critical Systems Provided
by Our Clearing Firm
Our firm relies, by contract, on our clearing firm to
provide order execution, order comparison, order allocation,
and the maintenance of customer accounts, delivery of
funds and securities, and access to customer accounts.
Alternate Communications Between
the Firm and Customers, Employees, and Regulators
We now communicate with our customers using Bloomberg,
the telephone, e-mail, fax, U.S. mail, and in person
visits at our firm or at the other’s location.
In the event of an SBD, we will assess which means of
communication are still available to us, and use the
means closest in speed and form (written or oral) to
the means that we have used in the past to communicate
with the other party. |
