Code of Ethics Year End Reporting
Thursday, January 05, 2012
It is time once again to complete your Year End Code of Ethics requirement by completing the attached form. This report is due no later than close of business Monday, January 30, 2012.
Pursuant to the Investment Advisers Act of 1940, you must disclose transactions and holdings of your personal securities accounts. Accordingly, complete the attached form and return it to me via email, fax or mail. Please submit the form whether or not there were any reportable transactions during the reporta...
read more about Code of Ethics Year End Reporting
Annual Client Disclosure letter
Tuesday, December 20, 2011
Recently a letter was sent to clients of Brookstone who participate or currently participate in directly held accounts. The intent of the communication was to comply with the annual regulatory requirement to update and/or verify client suitability information as well as to provide disclosures. Please find the sample language that was sent which included an account update form, privacy diclosure as attachments in the "What's New" Section of the Intranet!
CIGX Restrictions
Thursday, December 15, 2011
Effective Immediately
The following security is prohibited from any new purchases for any New or Existing Customer Accounts until further notice. Only liquidation of the existing positions will be allowed.
Security Name: Star Scientific, Inc.
Symbol: CIGX
Any purchase of the security may result in disciplinary action up to and including the Associated Person’s termination with Brookstone.
If you have any questions, contact the firm’s Sales Supervision Department.
Note: Any un...
read more about CIGX Restrictions