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This material provides general information only. Neither the information nor any views expressed constitutes an offer or an invitation to make an offer, to buy or sell any securities or other investment or any options, futures or derivatives related to such securities or investments. It is not intended to provide personal investment advice and it does not take into account the specific investment objectives, financial situation and the particular needs of any specific person who may receive this material. Investors should seek financial advice regarding the appropriateness of investing in any securities, other investment or investment strategies discussed in this report and should understand that statements regarding future prospects may not be realized. Investors should note that income from securities or other investments, if any, may fluctuate and that price or value of such securities and investments may rise or fall. Accordingly, investors may receive back less than originally invested. Past performance is not necessarily a guide to future performance. Any information relating to the tax status of financial instruments discussed herein is not intended to provide tax advice or to be used by anyone to provide tax advice. Investors are urged to seek tax advice based on their particular circumstances from an independent tax professional.
Routing Disclosures Made Pursuant to Rule 606 of SEC Regulation NMS
Rule 606 of SEC Regulation NMS requires broker-dealers receiving non-directed client orders to publicly disclose, on a quarterly basis, the top execution venues to which such orders are routed for execution. Broker-dealers also must disclose material aspects of the relationships they maintain with the identified execution venues. The Rule 606 statistics for Veracor Financial Incorporated are available for public review by clicking here.
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Where this communication constitutes a financial promotion it is issued and approved for distribution in the UK by Veracor International only to, and directed at, (a) persons who have professional experience in matters relating to investments falling within Article 19(1) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (the “Order”) or (b) high net worth entities, and other persons to whom it may otherwise lawfully be communicated, falling within Article 49(1) of the Order (all such persons together being referred to as “relevant persons”). This communication must not be acted on or relied on by persons who are not relevant persons. Any investment or investment activity to which this communication relates is only available to relevant persons and will be engaged in only with relevant persons. The UK compensation scheme and rules for the protection of private customers do not apply to the services provided or products sold by non-UK regulated affiliates.
The information herein was obtained from various sources. We do not guarantee its accuracy. Neither the information, recommendations or opinions expressed herein constitutes an offer to buy or sell any securities, futures, options or investment products. Veracor may trade for its own account in the securities or other products described here.
Foreign-currency-denominated investments are subject to fluctuations in exchange rates that could have a positive or adverse effect on the investor’s return. Unless otherwise stated, any pricing information in this message is indicative only, is subject to change and is not an offer to deal. Where relevant, the price quoted is exclusive of tax and delivery costs. Any reference to the terms of executed transactions should be treated as preliminary and subject to our written confirmation.
This information is not necessarily a publication of Veracor Research, although a Research report may be referenced as a link or as an attachment hereto. Any summary of Research is qualified in its entirety by the views of Research and the specific disclaimers associated with that report. This information is for discussion purposes and neither the information nor any opinions expressed constitutes a solicitation by us for the purchase or sale of any securities or other financial instruments. Veracor and any affiliate may trade for its own accounts in any of the securities of issuers mentioned herein or in related investments and may also from time to time perform or solicit investment services for, or from, any entity mentioned herein.
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In respect of U.K. investors, certain Veracor entities, including Veracor International, have no place of business in the U.K. and are not authorized or regulated by the UK. The U.K. rules for the protection of retail clients and the U.K. Financial Services Compensation Scheme do not apply to such business. As against such entities, the regulatory regime governing an investor’s rights will be different to that of the U.K. Investors may, however, be entitled to similar protection in the jurisdiction in which the relevant entity is organized or resident.
Information on Reporting Errors and Canceling Certain Transfers Going Outside Of the U.S. (Remittance Transfers) Errors
If you believe there has been an error or problem with a wire transfer initiated by you from your U.S. based brokerage account to a recipient outside of the United States (a “remittance transfer”), please contact your Financial Advisor by calling or writing to the office that services your account. If you do not know how to reach the office that services your account, call (678) 579-0488.
827 Fairways Ct. Suite 202
Stockbridge, GA 30281
You must make contact, within 180 days of the date we promised to you that funds would be made available to the recipient.
When you contact your Financial Advisor or trust team, please tell him/her:
1. The error or problem with the transfer, and why you believe it is an error or problem;
2. The name of the person receiving the funds, and if you know it, his or her telephone number or address;
3. The dollar amount of the transfer; and
4. The confirmation code or number of the transaction.
We will determine whether an error occurred within 90 days after you contact your Financial Advisor or trust team and we will correct any error promptly. We will tell you the results within three business days after completing our investigation. If we decide that there was no error, we will send you a written explanation. You may ask for copies of any documents we used in our investigation.
You have the right to cancel a remittance transfer and obtain a refund of all funds paid to us, including any fees.
In order to cancel, for a U.S. based brokerage account, you must contact your Financial Advisor within 30 minutes from the time you authorized the transfer. If you cannot reach your Financial Advisor, please call (678) 579-0488.
In order to cancel, for a Trust Management Account (“TMA”), you must contact your trust team within 30 minutes from the time you authorized the transfer. If you cannot reach your trust team, please call (678) 579-0488.
When you contact your Financial Advisor or trust team, you must provide him/her with information to help us identify the transfer you wish to cancel, including the amount and location where the funds were sent.
We will refund your money within three business days of your request to cancel a transfer as long as the funds have not already been picked up or deposited into a recipient’s account.
For questions or complaints about remittance transfers sent through Veracor, you may contact:
Consumer Financial Protection Bureau