Trading Direct, a Division of York Securities, Inc.
ONLINE SERVICE AGREEMENT & SIGNATURE FORM, MARGIN ACCOUNT
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Sign and mail (do not fax) form to:
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TRADING DIRECT
160 BROADWAY
REAR BLDG, FL 7
NEW YORK NY 10038
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Account for: |
| Name |
_____________________________ |
| Address
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_____________________________
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| | _____________________________ |
| SSN# |
_____________________________ |
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Would you like to transfer your existing brokerage account to your Trading Direct account?
Yes, please transfer my existing account to Trading Direct. (Appropriate forms will be mailed.)
No, not at this time.
Please specify the appropriate account service instructions:
For your convenience, Ridge Clearing & Outsourcing Solutions, Inc. will hold, free of charge, all securities you purchase, and all proceeds from sales, dividends and interest.
Rule 14b-1(c) of the Securities Exchange Act, requires us to disclose to an issuer, unless you object, upon their request the name, address and securities position of our customers who are beneficial owners of the issuer's securities, which are held by us in nominee name. The issuer would be permitted to use your name and other related information for corporate communication only.
If you object to this disclosure, check this box:
PLEASE READ AND SIGN THE FOLLOWING FOR A MARGIN ACCOUNT:
I (we) would like to establish a brokerage account using Trading Direct a Division of York Securities, Inc. (Trading Direct), which clears all transactions through Ridge Clearing & Outsourcing Solutions, Inc. I (we) acknowledge by signing this agreement that I (we) have received, read and understand the terms and conditions described in the Trading Direct Online Brokerage and Electronic Services agreements, and agree to abide by these terms and conditions as they apply to my (our) account. I (we) further acknowledge that these terms and conditions may be amended from time to time, and agree to abide by these changes. I (we) understand and acknowledge that Trading Direct does not provide investment advice, tax advice or legal advice. I (we) further understand and acknowledge that Trading Direct does not provide advice or recommendations pertaining to the suitability, profitability or investment strategy of any specific security or investment.
I (we) understand and agree that securities or other property held now or hereafter in any account in which I (we) have an interest may be lent, pledged, repledged, hypothecated, rehypothecated from time to time, separately or in common with other securities and property for an amount due in my (our) account(s), or for a greater amount. I (we) agree to pay all interest charges upon my (our) account at the prevailing rate as determined by Ridge Clearing & Outsourcing Solutions, Inc. and described in the Interest Charges on Debit Balances section of the Trading Direct Online Brokerage Agreement. I (we) acknowledge that payment for the entire debit balance in my (our) account(s) is payable in full on demand.
Under penalty of perjury, I certify that:
1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), and
2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal
Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has
notified me that I am no longer subject to backup withholding, and
3. I am a U.S. citizen or other U.S. person (defined below).
Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup
withholding because you have failed to report all interest and dividends on your tax return.
I (we) further acknowledge that I (we) have received, read and understand the pre-dispute arbitration clause located in the Trading Direct Online Brokerage Agreement, paragraph 9, and agree to resolve any disputes arising out of my (our) account by arbitration.
By signing this agreement, I (we) acknowledge the following: (1) That, in accordance with paragraph 9, I (we) agree in advance to arbitrate any controversies which may arise with each or both of you, and (2) I (we) have received of a copy of this agreement and (3) the information provided above is accurate and correct.
(Please sign and date above. If this is a joint account, the co-applicant must sign on the second X.)
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For Office Use Only (req. ID):
Approved By:________________________________ . Account #: