Important Information about our Business Continuity Plan
As with any business, the services provided to you by Shoreline Trading Group, LLC (“Shoreline Trading”) are subject to interruption based on local, regional or national events. The cause, effect or length of such interruptions cannot be determined with certainty and therefore require that you, the customer, plan in advance your actions which can mitigate and minimize any adverse effect such an interruption may cause. The customer assumes any liability associated with such interruptions. Adequate customer planning will include maintaining current account records as well as taking steps to gain an understanding of how to maintain critical communications with Shoreline Trading and our clearing firms, Goldman Sachs Execution and Clearing, L.P. and Bear, Stearns Securities Corp. in the event of a business interruption. Additionally, the customer should be aware that such information is subject to constant updating.
Please review our website at www.shorelinetrading.com to help prepare for local, regional, or national events affecting your contacts at Shoreline Trading.
To prepare for local, regional or national events affecting the offices of our clearing firms please review their websites for their Business Continuity Plans and contact information at: Goldman Sachs Execution and Clearing, L.P.: www.gs.com
Bear, Stearns Securities Corp.:
www.bearstearns.com
Should a local or regional event affect our West Coast offices, please
call our New York office at (800) 499-7484 or (212) 433-5362 or (917)
512-7250.
Should a local or regional event affect New York City, please call one
of our West Coast offices:
El Segundo at (310) 780-2938 or Santa Monica at (310) 573-8511.
Should an event affect all Shoreline offices, please contact Goldman
Sachs Execution and Clearing, L.P. at (212) 357-2266 for liquidating
orders only or Bear, Stearns Securities Corp. at (347) 643-4927 for
liquidating orders, check and wire requests, and
ACAT transfers only.
If SIPC determines that we are unable to meet our obligations to our
customers or if our liabilities exceed our assets in violation of
Securities Exchange Act Rule 15c3-1, SIPC may seek to appoint a trustee
to disburse our assets to customers. We will assist SIPC and the trustee
by providing our books and records identifying customer accounts subject
to SIPC regulations.
Los Angeles
310-536-8670Santa Monica
310-573-8511New York
917-512-7250
