Please read these disclosure statements carefully and retain for your records. If you have any questions or comments, please do not hesitate to contact your personal account manager or our operations department at our toll free number (800) 838-8951. Hollencrest's relationship with you is our most important asset, and we will continually strive to provide you with the best service possible.

Disclosure Statements & Notices

• Bear Stearns SEC Disclosure To Issuers
• Anti-Money Laundering Requirements/Customer Identification Program Notice
• Margin Disclosure Statement
• Customer Complaint Notice - SEC Rule 17a-3(a)(18)(ii)
• Order Routing Information - SEC Rule 11Ac1-6
• Order-Routing Disclosure - SEC Rule 10b10(a)(2)(I)(D) & Rule 11Ac1-3
• Privacy Practices - SEC Regulation S-P
• Rules & Risks Associated with a Margin Account - FINRA Rule 2341
• N-PX 2004 SEC Proxy Filing
• Hollencrest Business Continuity Plan Disclosure Statement

Reports

• www.tagaudit.com
  (Order Execution Disclosure for Hollencrest SEC Rule 11Ac1-6 Report)
  
  Once you have clicked on the above link, click on the box in the upper right-hand corner that says Public Rule 11Ac 1-6, which will then lead you to the page to select "Hollencrest", this will in turn bring up the most current report.

Regulations

• Regulation T