Multi-Bank Securities, Inc. Business Continuity Plan

If after a significant business disruption you cannot contact us as you usually do through your account executive or your branch office, you should call our alternative number 800-967-5094 or go to our web site at www.mbssecurities.com. If you cannot access us through either of those means, contact our clearing firm Pershing LLC (Pershing) directly in one of three ways:

1. Call 1-201-413-3635. Pershing will process limited trade-related transactions (option #1), cash disbursements (option #2), and security transfers (option #3) on your behalf

2. Via Facsimile at 1-201-413-5368

3. Via Postal Service, at “Pershing LLC, P.O. Box 2065, Jersey City, New Jersey 07303-2065”

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical suppliers, contractors, banks, and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business. Our clearing firm, Pershing, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to quickly restore its own operations and be able to complete existing transactions and accept new transactions and payments. Your orders and requests for funds and securities could be delayed during the restoration period.

Varying Disruptions – Significant business disruptions can vary in their scope, such as the business district, the city, or the entire region where one or more of our offices are located. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to one or more of our offices, we will transfer our operations to an appropriate site when needed, and expect to recover and resume business within twenty-four hours. In a disruption affecting a larger area, we will transfer our operations to a site outside of the affected area when needed, and expect to recover and resume business within forty-eight hours. In either situation, we plan to continue in business, transferring operations to our clearing firm if necessary, and notify you through our web site www.mbssecurities.com or our customer emergency number, 800-967-5094 on how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers’ prompt access to their funds and securities. For more information – If you have questions about our business continuity planning, you can contact us at businesscontinuity@mbssecurities.com.

Corporate Headquarters
1000 Town Center, Suite 2300
Southfield, Michigan 48075
Michigan (248) 291-1100
Toll Free U.S.A. (800) 967-9045
Fax (248) 291-1101