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Investor’s Rights

ProEquities believes that the needs of the investor should always come first. As an investor, you have important rights, including the right to high quality products and services from the securities firm you choose.

At the same time, investors need to shoulder certain responsibilities themselves — for example, to plan carefully to meet their investment goals and to stay informed about the risks and rewards of their investments.

Your Rights As An Investor


As an investor, you have the right:

Quality Service
• To be treated in a fair, ethical, and respectful manner in all interactions with a securities firm and its employees and affiliates.
• To receive competent and courteous service and advice (if provided by your firm) at a fair price.
• To select your own representative or request a different one if you are not satisfied.
• To move your account to another representative or a new investment firm whenever you wish in a simple, efficient manner.

Full, Clear Reporting
• To clear, accurate, easy-to-understand descriptions of all your transactions, statements, and other communications from your investment firm.
• To be informed clearly about all the costs associated with your account and the costs related to individual transactions, including commissions, sales charges (or loads), and other fees.
• To accurate and timely regular statements of your account, including detailed transactional information.
• To be provided with clear descriptions of your firm's policies and practices for protecting the privacy of non-public, personal information.

Responsible Investment Advice
• To be provided with responsible investment recommendations based on your personal objectives, time horizon, risk tolerance, and other factors, as disclosed by you.
• To be apprised of significant conflicts of interest identified in a financial relationship between an investor and his or her broker-dealer or account representative.
• To expect that your investment firm will provide professional assistance to help you clarify your investment goals and risk tolerance.
• To be able to rely on your firm's assistance also in setting realistic expectations about the long-term performance and associated risks of various securities. The firm will present you with reasonable investment alternatives designed to meet those expectations, and disclose the comparative risks, benefits, and costs.

Prompt, Fair Resolution Of Problems
• To fair consideration and a prompt response from your investment firm, if any problem with your account ever arises.
• To a clearly defined process for raising and resolving a complaint. Your firm will provide you with full information about this process, particularly about how you can elevate an issue to the appropriate level of the firm's management to gain satisfaction.
• To be apprised of alternatives if your investment firm is unable to resolve a dispute to your satisfaction.