Maxcor Privacy Policy
This privacy policy applies to individuals who obtain or apply for a financial product or service for
personal, family or household purposes, or have done so in the past, from Maxcor Financial Group Inc.
or any of its subsidiaries or affiliates. This policy briefly explains how we collect, use and safeguard
any nonpublic personal information regarding any such individuals.
In the course of providing you with certain financial products or services, we collect limited nonpublic
personal information from you, which may include your name, address, company affiliation, telephone number,
e-mail address and billing contact or credit card information. We use this information to bill any individual
subscribers, to administer our businesses, to provide you with customized displays of pricing information on
securities you request and as otherwise permitted by law. We do not collect nonpublic personal information
about you from any source other than you.
In the event we offer financial products or services to individuals to whom this policy applies, for purposes
of those products or services we may collect and use additional categories of nonpublic personal information from
you on application and other forms, such as your income, assets, social security number and credit history, and in
such instances, may collect and use nonpublic personal information about you from other sources, such as consumer
reporting agencies, including information regarding your creditworthiness and credit and transaction history.
We maintain your nonpublic personal information received electronically in a secure, password-protected database, and
limit access to the database to those of our employees with a legitimate purpose for such access who are advised of
their confidentiality obligations. Any hard copies of such information are stored in a secure environment and access to such
materials is also limited to those of our employees with a legitimate purpose for such access who are advised of their
confidentiality obligations. We maintain physical, electronic and procedural safeguards to protect your nonpublic personal information.
We do not sell your nonpublic personal information to mailing list companies or mass marketing companies. We may share
your nonpublic personal information described above with our subsidiaries and affiliates, which include a registered broker-dealer,
a registered investment adviser, financial holding companies and financial information and technology providers. We do
not share your nonpublic personal information with any unaffiliated entities, except as required by law, such as in
connection with a subpoena or similar legal process or as part of an audit or examination, or as otherwise permitted by
law, such as in connection with the USA Patriot Act and other government inquiries and investigations. We may also share
such information as permitted by law with service providers, such as clearing firms, and others that aid in fulfilling your
requested service, with credit bureaus and similar organizations or where the information sharing is necessary for certain
operational, security or regulatory purposes. We reserve our rights to share all of your nonpublic personal information
described above (including information regarding your creditworthiness and credit and transaction history) with other third
parties that provide services that enable us to better understand and serve your needs and to help us ensure that our information
about you is current and accurate.
[ ] OPT OUT: YOU MAY OPT OUT OF THE SHARING OF YOUR NONPUBLIC
PERSONAL INFORMATION WITH NONAFFILIATED PARTIES, EXCEPT AS IS OTHERWISE
PERMITTED BY LAW, AT ANY TIME. TO DO SO BY MAIL, PLEASE PRINT THIS PAGE, CHECK
THE OPT OUT BOX, FILL IN YOUR NAME AND ADDRESS AND MAIL THE COMPLETED FORM TO:
MAXCOR FINANCIAL GROUP INC., ATT: LEGAL DEPARTMENT, ONE SEAPORT PLAZA,
19TH FLOOR, NEW YORK, NY 10038. TO DO SO ONLINE, CLICK
HERE
TO COMPLETE THE ONLINE NOTIFICATION FORM.
Name:______________________
Address:_______________________________________
We thank you for the opportunity to serve you. Your relationship and trust are
important to us. Please be assured that we will abide by these policies and
procedures to protect your information. Your preferences will be respected.
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