Disclaimer

ConvergEx Group is a global technology firm. Its companies focus on providing software products and technology-enabled services in the following areas: global execution, commission management, independent research, transition management, trade order management, portfolio margining and prime services. These businesses do not engage in market making, investment banking or “at risk” proprietary trading. When executing trades, one or more ConvergEx Group companies may operate in an agency, riskless principal and/or net trading capacity in search of liquidity for customers.

ConvergEx Group in the United States comprises ConvergEx Execution Solutions LLC (member NYSE/FINRA/SIPC); LiquidPoint, LLC (member CBOE/SIPC); G-Trade Services LLC (member FINRA/SIPC); Westminster Research Associates LLC (member FINRA/SIPC); Eze Castle Transaction Services LLC (member FINRA/SIPC); ConvergEx Prime Services LLC (member FINRA/SIPC); Eze Castle Software LLC, RealTick LLC and ConvergEx Solutions LLC, of which Cogent Consulting, ConnEx, Jaywalk and LDB are divisions. ConvergEx Group, LLC is a subsidiary of ConvergEx Holdings, LLC.

In London, ConvergEx Group operates its subsidiary ConvergEx Limited, a U.K. broker-dealer that is registered in England and Wales No 06262150, authorised and regulated by the Financial Services Authority, and operates in Australia under an exemption from the requirement to hold an Australian financial services licence under the Corporations Act 2001. In Hong Kong, ConvergEx Group operates its subsidiary ConvergEx Asia Pacific Limited, a Hong Kong broker-dealer regulated by the Securities & Futures Commission.

Any trademarks or service marks used by a ConvergEx Group, LLC company are owned by the company using the mark unless indicated otherwise.

The material, data and information (collectively “ConvergEx Information”) contained on or available through ConvergEx Group businesses may not be suitable for all investors, are for informational purposes only and are subject to change at any time, are not intended to provide tax, legal or investment advice, and do not constitute investment advice or a solicitation or offer to purchase or sell securities. The ConvergEx Information is believed to be reliable but none of the ConvergEx Group businesses warrant its completeness or accuracy. Please read your agreement with us carefully, as it contains important information and disclosures about the product or service covered by it.