E-COMM & US REGULATORY DISCLOSURES
us regulatory disclosures
Government rules adopted to prevent money laundering and terrorist financing require all U.S. financial institutions to obtain, record and verify information that identifies each individual or entity that opens an account. When you open an account with or through The GrowTH STAGE, iNC. (“tgs Inc.”), we will ask you for your name and address. We will also ask for an identification number. For U.S. entities, it means your employer identification number. For non-U.S. entities, it means a taxpayer identification number. In addition, you may be required to provide identification documents as necessary to enable the Firm to verify your identity AND THE IDENTITIES OF CERTAIN ENTITY OWNERS. TGS INC. may also screen your name against various databases to verify your identity. All information and documentation will be treated in a manner so as to protect your privacy. TGS INC. is required to verify the identity of its customers. In certain circumstances, we may not be able to open an account or conduct any transactions for you until we have obtained and verified the necessary identification information. If we have opened an account for you, we may have to restrict trading or close it if you do not supply the necessary information or documents or if we are unable to verify your identity.
YOU ARE ADVISED TO PROMPTLY REPORT ANY INACCURACY OR DISCREPANCY WITH YOUR HOLDINGS TO TGS INC. PLEASE BE ADVISED THAT ANY ORAL COMMUNICATION SHOULD BE RECONFIRMED IN WRITING TO FURTHER PROTECT YOUR RIGHTS, INCLUDING YOUR RIGHTS UNDER THE SECURITIES INVESTOR PROTECTION ACT. TGS INC.'S CONTACT INFORMATION IS AS FOLLOWS:
THE GROWTH STAGE, INC.
COMPLIANCE DEPARTMENT
2911 TURTLE CREEK BOULEVARD
SUITE 300
DALLAS, TX 75219
TEL: +1 (469) 634-7764
TGS INC. CUSTOMERS MAY DIRECT COMPLAINTS TO DAVID AMSTER, CHIEF COMPLIANCE OFFICER, AT +1 (917) 568-6470. WRITTEN COMPLAINTS MAY BE SENT TO:
THE GROWTH STAGE, INC.
COMPLIANCE DEPARTMENT
2911 TURTLE CREEK BOULEVARD
SUITE 300
DALLAS, TX 75219
TGS INC. IS A MEMBER OF THE SECURITIES INVESTOR PROTECTION CORPORATION (“SIPC”). THE STATUE THAT CREATED SIPC PROVIDES THAT CUSTOMERS OF A FAILED BROKERAGE FIRM RECEIVE ALL NON-NEGOTIABLE SECURITIES THAT ARE ALREADY REGISTERED IN THEIR NAMES OR IN THE PROCESS OF BEING REGISTERED. ALL OTHER SO-CALLED “STREET NAME” SECURITIES ARE DISTRIBUTED ON A PRO-RATA BASIS. AT THE SAME TIME, FUNDS FROM THE SIPC RESERVE ARE AVAILABLE TO SATISFY THE REMAINING CLAIMS OF EACH CUSTOMER UP TO A MAXIMUM OF $500,000. THIS FIGURE INCLUDES A MAXIMUM OF $100,000 ON CLAIMS FOR CASH. RECOVERED FUNDS ARE USED TO PAY INVESTORS WHOSE CLAIMS EXCEED SIPC’S PROTECTION LIMIT OF $500,000. SIPC OFTEN DRAWS DOWN ITS RESERVE TO AID INVESTORS. YOU MAY OBTAIN MORE INFORMATION ABOUT SIPC, INCLUDING A BROCHURE, BY CONTACTING SIPC AT:
SECURITIES INVESTOR PROTECTION CORPORATION
805 15TH STREET, N.W. SUITE 800
WASHINGTON, D.C. 20005-2215
TEL: +1 (202) 371-8300
FAX: +1 (202) 371-6728
E-MAIL: ASKSIPC@SIPC.ORG
WEBSITE: WWW.SIPC.ORG
TGS INC. IS A MEMBER OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (“FINRA”), THE LARGEST INDEPENDENT REGULATOR FOR ALL SECURITIES FIRMS THAT CONDUCT BUSINESS IN THE UNITED STATES. YOU MAY OBTAIN MORE INFORMATION ABOUT FINRA THROUGH THEIR WEBSITE, WWW.FINRA.ORG. FINRA’S BROKERCHECK SYSEM, FORMERLY KNOWN AS FINRA’S PUBLIC DISCLOSURE PROGRAM, ALLOWS INVESTORS TO LEARN ABOUT THE PROFESSIONAL BACKGROUND, BUSINESS PRACTICES AND CONDUCT OF FINRA MEMBER FIRMS OR THEIR BROKERS. BROKERCHECK IS ACCESSIBLE VIA FINRA’S WEBSITE AT WWW.BROKERCHECK.FINRA.ORG AND THROUGH THE BROKERCHECK HOTLINE AT 1-800-289-9999. AN INVESTOR BROCHURE IS ALSO AVAILABLE UPON REQUEST.
E-COMM DISCLAIMER
GLOBAL ELECTRONIC COMMUNICATIONS DISCLAIMER
All electronic communications (including email, instant messaging, SMS, audio and video conferencing, screen sharing, file exchanges etc.), whether in the form of audio, video or text, and any attachments thereto (each, an "e-comm", and together “e-comms”), are intended solely for the use of the intended recipient(s) and may contain information that is privileged, confidential, proprietary or otherwise protected by work product immunity or other legal rules or otherwise exempt from disclosure under applicable law. No confidentiality or privilege is waived or lost by any transmission errors. Any e-comm is intended solely for the intended recipient, and if you are not the intended recipient, please notify the sender immediately, delete it from your system and do not copy, distribute, disclose, or otherwise act upon any part of this e-comm or its attachments. E-comms are not intended for distribution to, or use by, any person or entity in any location where such distribution or use would be contrary to law or regulation, or which would subject the sender to any registration requirement within such location. The transmission and content of an e-comm cannot be guaranteed to be secure or free of errors or viruses. The sender does not waive any intellectual property rights in any e-comm. The sender recommends that you do not send any individual personal information via communication methods that are not secure and could be intercepted by a third party. The sender reserves the right to intercept, monitor, record, review and retain all e-comms, including audio, video, and text, sent or transmitted to or from its systems as permitted by applicable law. Any e-comm that is conducted via the sender will be subject to being archived, monitored, and produced to regulators and in litigation in accordance with the sender's policy and local laws, rules and regulations. Unless expressly prohibited by local law, e-comms may be archived in countries other than the country in which you are located, and may be treated in accordance with the laws and regulations of the country of each individual included in the e-comm.
UNITED KINGDOM DISCLAIMER
We do not provide investment advice. You therefore must not consider or rely on the contents of an e-comm as investment advice based on your personal circumstances, nor as a recommendation to enter into any of the services or invest in any of the products referenced herein. We recommend that you seek independent investment, legal, tax, regulatory, accounting, and financial advice concerning any services or investments discussed in this communication. The Growth Stage Limited (“TGS Ltd”) is authorised and regulated by the Financial Conduct Authority. In accordance with regulatory requirements in Europe including the Market Abuse Regulations and the Markets in Financial Instruments Directives, certain telephone, or other e-comms with TGS Ltd may be recorded. Copies of such recordings will be available on request for a period of at least five years from the date of the communication.
US CUSTOMERS DISCLAIMER
The information contained in this e-comm is for information purposes and should not be regarded as an offer to sell or a solicitation of an offer to buy any security in any jurisdiction where such an offer or solicitation would be in violation of any local laws. It does not constitute a recommendation or consider the particular investment objectives, financial conditions, or needs of specific investors. The price and value of the investments referred to in this e-comm and any income from such investments may fluctuate, and investors may realize losses on these investments, including a loss of principal. Past performance is not indicative or a guarantee of future performance. We do not provide tax, accounting, or legal advice to our clients, and all investors are advised to consult with their tax, accounting, or legal advisers regarding any potential investment. The information and any opinions contained in this e-comm have been obtained from sources that we consider reliable, but we do not represent such information and opinions are accurate or complete, and thus should not be relied upon as such. The Growth Stage, Inc. (“TGS Inc.”) is a broker-dealer registered with the U.S. Securities and Exchange Commission, a member of FINRA and a member of SIPC. In the United States, and for US Customers, securities are offered through TGS Inc.
