BUSINESS CONTINUITY STATEMENT
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. If after a significant business disruption, you cannot contact us at the telephone number you usually use, you should call 212-558-8800 or go to our website at Dominick & Dominick.com. If you cannot access us through either of those means, you should contact our clearing firm, Pershing LLC. 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 are tested several times a year. Pershing's recovery time objective for business resumption, including those involving a relocation of personnel or technology, is 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 for recorded instructions.
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 or call 212-558-8800.
This information is subject to modification.