Dominick & Dominick maintains a business continuity plan in the
event of a significant business disruption which would impede or prevent it
from accessing its offices.
Our plan considers a number of scenarios including disruption to a
single building, a city-wide, or regional business disruption. Many of our
mission-critical functions and systems are dependent upon our clearing firm,
Pershing LLC. Pershing has indicated that in the event of a significant
business disruption, it may relocate technology and operational personnel to
preassigned alternate regional facilities and switch technology data processing
to an alternate regional data center. Their redundant data centers and
alternate processing facilities will help minimize interruptions to our
services.
All of Pershing’s operational facilities are equipped for the
resumption of business and have a recovery time objective of four (4) hours.
This recovery objective, however, may be adversely affected by events and
circumstances beyond our control.
In the event that Dominick & Dominick’s facilities are
inaccessible or damaged and your Financial Advisor is not available, you may
contact Pershing directly at (201) 413-3635 to process limited trade-related
transactions, cash disbursements and security transfers. Instructions to
Pershing must be in writing and transmitted via facsimile or postal service as
follows:
Pershing LLC
P.O. Box 2065
Jersey City, N.J. 07303-2065
Fax: (201) 413-5368
For additional information about how to request funds and securities
in the event Dominick & Dominick cannot be contacted due to a significant
business interruption, please visit the About Pershing section of the Pershing
website at www.pershing.com/about.htm
or call the above number. If you cannot access the instructions from the web
site or previously noted telephone number, Pershing may be contacted at (213)
624-6100 extension 500 as an alternate telephone number.
While we have strived to develop an effective business continuity
plan, we cannot eliminate all risk of service interruption after a significant
business disruption. We will, however, continue to evaluate and update our plan
as necessary to address this risk.
If you have any questions regarding our business continuity plan,
please contact your Dominick & Dominick Financial Advisor.
This information is subject to modification.
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