© 1997 - 2003 National Financial Services. All Rights Reserved. Notices
ComStock Terms & Conditions of Use
Dow Jones Indexes Terms of Use
BCP Disclosure
SIPC Disclosure
Privacy Policy
© 1997 - 2003 National Financial Services. All Rights Reserved. Notices
Except with respect to information about Middlegate Securities and unless otherwise specified, the content of this service is owned or licensed by National Financial Services and is protected by the United States Copyright Act of 1976, as amended, and the copyright laws of other countries. Certain materials are used by permission of their respective owners. Certain specified content is the property of Middlegate Securities Inc..

National Financial Services ("National Financial Services") is an industry leader in providing correspondent brokerage services, providing approximately 550 independent securities firms and registered investment advisors with a comprehensive range of trade execution, clearing and information management services. The material provided in this service, including graphic images, buttons, and text, may not be copied, reproduced, republished, uploaded, posted, transmitted, or distributed in any way, without the prior written permission of National Financial Services, except that you may download, display, or print one copy of the materials on any single computer solely for your personal, non-commercial, home use, provided that you keep intact all copyright, trademark, and other proprietary notices. Modification of the materials or use of the materials for any other purpose is a violation of National Financial Services's or its third-party information providers' copyrights and other proprietary rights. Nothing contained herein shall be construed as conferring by implication, estoppel, or otherwise, any license or right under any copyright, patent, trademark, or other proprietary interest of National Financial Services or any third party. National Financial Services acts solely as clearing agent for Middlegate Securities. National Financial Services is not an affiliate nor does it exercise supervisory authority over Middlegate Securities or its employees.


No judgment or warranty is made with respect to the accuracy, timeliness, or suitability of the content of other services or sites to which these screens link, and neither National Financial Services nor Middlegate Securities take any responsibility therefor. A link from this service to another service or site outside of Middlegate Securities is not an endorsement of the service or site, its content, or its sponsoring organization.

By using this service, you accept at your own risk that the Internet and online communications medium may not perform as intended despite the efforts of National Financial Services, your Internet service provider and you.

If you have questions about these Notices refer to National Financial Services: http://www.nationalfinancial.com .

© 1997 - 2003 National Financial Services.

ComStock Terms & Conditions of Use

All information provided by ComStock, Inc. ("ComStock") and its affiliates and any Member is permitted to store, manipulate, analyze, reformat, print and display the ComStock Information only for such Member's personal use. In no event shall any Member publish, retransmit, redistribute or otherwise reproduce any ComStock Information in any format to anyone, and no Member shall use any ComStock Information in or in connection with any business or commercial enterprise, including, without limitation, any securities, investment, accounting, banking, legal or media business or enterprise.

Prior to the execution of a security trade based upon the ComStock Information, you are advised to consult with your broker or other financial representative to verify pricing information.

Neither ComStock nor its affiliates make any express or implied warranties (including, without limitation, any warranty or merchantability or fitness for a particular purpose or use) regarding the ComStock Information. The ComStock Information is provided to the Members "as is." Neither ComStock nor its affiliates will be liable to any Member or anyone else for any interruption, inaccuracy, error or omission, regardless of cause, in the ComStock Information or for any damages (whether direct or indirect, consequential, punitive or exemplary) resulting therefrom.

Dow Jones Indexes Terms of Use

Dow Jones & Company, Inc. Terms and Conditions of Use

National Financial Services is providing you with services including, but not restricted to, information provided by Dow Jones & Company, Inc. ("Dow Jones") related to the Dow Jones Industrial Average and other indexes (the "Dow Jones Data"). In order to access and use the Dow Jones Data, you must agree to comply with the conditions imposed on your use of the services, as set out in these Terms and Conditions of Use and elsewhere in the National Financial Services services.

The Dow Jones Data is the exclusive property of Dow Jones. The data is protected by copyright and other intellectual property laws and all ownership rights remain with Dow Jones or its licensor, as the case may be. You may use the Dow Jones Data only for your own personal and non-commercial purposes. Such use will be in accordance with these Terms and Conditions of Use and the requirements set out elsewhere on the services. You may not copy, distribute or redistribute the Dow Jones Data (or any portion thereof), including by caching, framing or similar means, or sell, resell, re-transmit or otherwise make such data retrieved from National Financial Services services available in any manner to any third party.

The Dow Jones Data is provided "as is." Dow Jones shall not be liable to you or any third party for any loss or damage, direct, indirect or consequential, arising from (i) any inaccuracy or incompleteness in, or delays, interruptions, errors or omissions in the delivery of the Dow Jones Data or any other information supplied to you through the National Financial Services services or (ii) any decision made or action taken by you or any third party in reliance upon such data or information. Dow Jones shall not be liable to you or any third party for loss of business revenues, lost profits or any punitive, indirect, consequential, special or similar damages whatsoever, whether in contract, tort or otherwise, arising out of use of the Dow Jones Data, even if advised of the possibility of such damages incurred by you or any third party. Dow Jones does not provide any guarantee or warranty, express or implied, regarding the Dow Jones Data with respect to the accuracy, adequacy, quality, timeless, non-infringement, title, fitness of any information for a particular purpose or use of such data, and all such warranties are expressly excluded to the fullest extent that such warranties may be excluded by law. You bear all risk from any use or results of using any Dow Jones Data.

These terms and conditions constitute the entire agreement between you and Dow Jones and supersede any other agreements or representations with respect to the Dow Jones Data. The failure of either party to these terms and conditions, at any time, to require performance by the other party of any provision hereof shall in no way affect the full right to require such performance at any time hereafter, nor shall the waiver by either party of a breach of any provision hereof be taken or held to be a waiver of any succeeding breach of such provision or as a waiver of the provision itself. If and to the extent that any court of competent jurisdiction holds any provision of these terms and conditions to be invalid or unenforceable in a final non-appealable order, such holding shall in no way affect the validity of the remainder of this Agreement. These terms and conditions shall be governed by the laws of the State of New York, United States of America without regard to the conflicts of law principles thereof.

BCP Disclosure

Middlegate Securities Inc Business Continuity Planning

Middlegate Securities Inc has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us - If after a significant business disruption and you cannot contact us as you usually do at (212) 382-9500, you should contact our clearing firm, National Financial Services at 1-800-801-9942 or visit their website at nationalfinancial.com for instructions on how they may assist you in providing access to funds and securities, enter orders and process other trade-related duties such as cash and security transfers.

Our Business Continuity Plan - We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Our clearing firm, National Financial Services backs up our important records 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, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within a four hour period. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions - Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within one day. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within two days. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our website middlegatesecurities.com how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer's prompt access to their funds and securities.

For more information - If you have questions about our business continuity planning, you can contact us at (212) 382-9500.

SIPC Disclosure

All securities in Middlegate Securities Inc. accounts are protected in accordance with the Securities Investor Protection Corporation (SIPC) up to $500,000 (including cash claims limited to $250,000). For details, please see www.sipc.org or call (202) 371-8300.

Middlegate Securities Inc. has arranged for additional protection for cash and covered securities to supplement its SIPC coverage. This additional protection covers total account net equity in excess of the $500,000/$250,000 coverage provided by SIPC. Neither coverage protects against a decline in the market value of securities.

Privacy Policy


In accordance with the Gramm-Leach-Bliley Act of 1999, the SEC adopted Regulation S-P which requires broker/dealers to develop privacy policies with respect to customer nonpublic information.

Middlegate Securities Inc values your right to privacy. We are entrusted with your private and confidential information. We believe that it is of utmost importance to protect your personal information, while enabling us to service your account professionally. The information that Middlegate Securities Inc collects through its New Account Form, such as your name, address, tax identification number, telephone number, date of birth, employment status, annual income, net worth, financial objectives and bank reference are used solely to process your transactions and requests and help us in evaluating your financial goals.

Middlegate Securities Inc restricts access to any personal, nonpublic information to only those employees, agents and affiliated parties who require this information in order to process your requests and transactions. Our employees are required to protect the confidentiality of your information and will access it only when there is an appropriate reason to do so. We safeguard your information physically, electronically and through our procedures, in compliance with all applicable laws.

At certain times, Middlegate Securities Inc may disclose information because we are legally required to do so in response to a request from a Government or Regulatory Agency. Middlegate Securities Inc does not share your personal information with any unaffiliated company, group or individual. Your information is shared with our Clearing Firm, National Financial Services to process your transactions. Only upon your request will we provide to a third party, such as an accountant or attorney, whatever information you will direct us to provide.

Middlegate Securities Inc will never sell any information about you or your account with us to any other company or individual. In the event that you are no longer our client, our policy regarding nonpublic information will still apply.

If you should have any further questions concerning our Privacy Policy, please feel free to contact our compliance department.

Margin Disclosure Statement

Securities purchased on margin are the firm's collateral for the loan to you. If the securities in your account decline in value, so does the value of the collateral supporting your loan, and, as a result, the firm can take action, such as issue a margin call and/or sell securities or other assets in any of your accounts held with the member, in order to maintain the required equity in the account. It is important that you fully understand the risks involved in trading securities on margin. These risks include the following:
o You can lose more funds than you deposit in the margin account.
o The firm can force the sale of securities or other assets in your account(s).
o The firm can sell your securities or other assets without contacting you.
o You are not entitled to choose which securities or other assets in your account(s) are liquidated or sold to meet a margin call.
o The firm can increase its "house" maintenance margin requirements at any time and is not required to provide you advance written notice.
o You are not entitled to an extension of time on a margin call.

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