Compliance & Legal Notices

Member

Financial Industry Regulatory Authority (FINRA), National Investment Bankers Association (NIBA), Securities Investor Protection Corporation (SIPC), National Traders Association (NTA).

Pursuant to FINRA Rule 2267 of the FINRA Rules, Paulson Investment Company, LLC, would like to direct you to an important brochure offered by FINRA regarding investing and its associated risks. You may request the FINRA Investor Brochure by calling the FINRA hotline at (800) 289-9999 or visiting their website at www.finra.org. Information regarding the process of verifying registration and disclosure information related to registered representatives and broker/dealer entities is also available through these sources.

Compliance Department

Paulson Investment Company, LLC’s Compliance department is staffed by professionals experienced in all aspects of the securities industry. Their well-established policies and procedures assure both broker and investor that all activities conducted by the firm conform to established rules and regulations, and meet the highest standards.

Firm’s Relationship with Vision Financial Markets, LLC and Axos Clearing, LLC

Our firm has a contractual agreement with Vision Financial Markets, LLC and Axos Clearing, LLC (Vision and Axos) to serve as our clearing firms. This fully disclosed agreement states the responsibilities of each party. Although client assets are held by Vision or Axos, neither Vision nor Axos has responsibility for the financial condition or performance of our firm or our Financial Advisors.

Disclosure of SEC Required Order Execution and Order Routing Information

Paulson Investment Company, LLC (“Paulson”) trades National Market System securities as a market-maker in the over-the-counter market. Pursuant to SEC Rule 605 adopted by the Securities and Exchange Commission, Paulson is making available certain information with respect to orders executed as market maker in the over-the-counter market during the preceding month. You can obtain this information by going to www.paulsoninvestment.com and click on the Compliance & Legal notices link at the bottom of the page. Once that page loads, click on SEC Rule 605 in the column on the left. Upon written request, a written copy will be provided to you at no charge.

Paulson also acts in an agency capacity for client orders in equity securities. Pursuant to SEC Rule 606(a), Paulson is making available certain information with respect to its order routing practices during the preceding quarter. You can obtain this information by going to www.paulsoninvestment.com and click on the Compliance & Legal notices link at the bottom of the page. Once that page loads, click on SEC Rule 606 in the column on the left. Upon written request, a written copy will be provided to you at no charge.

Payment for Order Flow. Generally, the term “Payment for Order Flow” refers to payments that brokerage firms receive for routing clients’ buy and sell orders to other firms or market centers for execution. Paulson does not accept cash payments in return for directing client order flow to institutions or market centers. However, as a Firm we sometimes accept discounts, rebates, reductions of fees or credits, which are generally based on the overall volume of trading activity that results from sending orders to market centers or exchanges.

If you have any questions regarding the routing of a specific order, please contact your Financial Advisor or you may contact Paulson’s Compliance Department at (503) 243-6000.

SIPC & Additional Coverage for Client Accounts

Our clearing firms, Vision and Axos, are both a member of the Securities Investor Protection Corporation (SIPC). SIPC is a nonprofit membership corporation funded by its member security broker-dealers. SIPC protects the securities clients of its members in the event of the failure of a member firm. Member of SIPC, which protects securities customers up to $500,000 (including $250,000 for claims for cash). Explanatory brochure available upon request or at www.sipc.org.

Note: Neither SIPC protection, nor protection in excess of that offered by SIPC, covers a decline in the value of a client’s assets due to market loss.

Legal Notices – DISCLAIMER

The contents of this site are for informational purposes only and are not to be construed as an offer to sell or a solicitation to buy any securities. Such offers can only be made where lawful under applicable law. The contents of this site have been compiled from sources which we believe to be reliable but are not guaranteed. Paulson Investment Company, LLC does not warranty, guarantee or make any representations, or assume any liability with regard to financial results based on the use of information in the site.

Paulson Investment Company, LLC may make a market in certain securities in this site. These markets may, however, be discontinued without notice. Individuals associated with Paulson Investment Company, LLC, its officers and/or directors may hold shares in certain securities mentioned on this site and may increase or decrease such holdings without notice. Persons mentioned in this site may only transact business in states in which they have been properly registered or are exempt from registration. U.S. investors should be advised that not all investments discussed in this site may be available in all states. In no event shall party for any damages of any kind arising out of or relating to the use of this site or its contents, including, but not limited to, any lost profits, lost opportunity, special, incidental, indirect, consequential or punitive damages, even if Paulson Investment Company, LLC has been advised of the possibility of such damages.

Paulson Investment Company, LLC is not liable for any harm caused by the transmission, through accessing the services or information in this site, of a computer virus, or other computer code or programming device that might be used to access, delete, damage, disable, disrupt or otherwise impede in any manner, the operation of the site or of any user’s software, hardware, data or property.

The use of this website is at your own risk.