Updated Feburary, 2012
| In a disruption affecting our business district, city, or region, we will rely on our clearing firm to handle urgent business matters until we transfer our operations to a site outside of the affected area. |
TRUBEE, COLLINS & CO., INC. has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. We intend to continue operations as much as is reasonably possible, and we have back-up systems in place* that will guarantee our Customers' prompt access to their funds and securities.
Since the timing, scope, impact and degree of disruptions are unpredictable (such as only our firm, the building housing our firm, local business district, city/region, etc.), we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this summary of information on our business continuity plan.
During a significant business disruption, you should contact us as you usually do at (716) 849-1401 or (800) 836-4050 and follow the contact information and/or instructions indicated in the greeting.
Office personnel will transition to remote locations in the event of a significant but localized business disruption; this transition will be completed in a matter of hours. Please do not call with routine inquiries, but only with matters of importance. All telephone calls, email, U.S. mail, and overnight packages will be forwarded to the remote location(s). Our important records are maintained by our clearing firm in a geographically separate area.
Please note: all orders must be placed by a Financial Representative.
As a client of Trubee, Collins & Co., Inc., we recognize you may need access to your account to sell a position or request a check before we can re-establish telephone or other communication services with you. During this time, our clearing firm, First Clearing, LLC, will assist you with sell or liquidation orders and provide check disbursements, as required. If you cannot contact our firm by any means, please call First Clearing, LLC for assistance at 877-496-3223.
We anticipate recovery and resumption of business within one business day.
FIRST CLEARING CORRESPONDENT SERVICES
One North Jefferson Avenue
St. Louis, Missouri 63103
Website: www.firstclearingllc.com
Our clearing firm, First Clearing, LLC, regularly backs up its important information in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, First Clearing, LLC has a thorough Business Continuation Plan in place. First Clearing has advised us that its objective is to restore its own operations in order to complete existing transactions and accept new transactions and payments in a timely manner.
*To address all mission critical systems as required, including: data preservation; financial/operational issues; alternative communication modes; alternative physical locations; critical suppliers, including banks; required regulatory reporting.
