Disclosures

The information and content herein are for informational purposes only. Nothing contained on this website should be construed as a solicitation, offer, or recommendation, to acquire or dispose of any investment or security or to engage in any other transaction. Neither Comstock nor its affiliates offer tax or legal advice. Individuals are encouraged to seek the advice of professionals, as necessary, with regard to their individual situation.

Privacy Policy - Comstock is committed to protecting non-public personal information we may receive from our valued clients and other users of this website. We do not use “Cookies” to obtain personal information about users of this website, nor do we share that information with unaffiliated third parties. Comstock maintains electronic safeguards that comply with federal standards to maintain the confidentiality of non-public personal information. For additional information, please view Comstock’s Privacy Policy.

Business Continuity Plan - As an FINRA member firm (www.finra.org), Comstock is required to address possible significant business interruptions and maintain a business continuity plan that would be activated in the event of any significant business disruptions. For more information, please view a summary of Comstock, LLC’s Privacy Policy.

Comstock respects the confidentiality of our clients’ non-public, personal information. It is the Company’s intention to ensure this information is safeguarded to protect against its misuse.

All information given to Comstock and all recommendations and advice furnished by Comstock to its clients will be kept confidential and will not be disclosed to anyone, except as Comstock may so agree in writing or as may be required to do so by law. Comstock does not sell personal client information to third parties.

Comstock will collect non-public information about its clients as part of any engagement. This information will be obtained directly from the client.

As part of Comstock’s policy, Comstock restricts access to confidential personal information about its clients to those Comstock employees and/or representatives who need to know that information in order to provide products or services to its clients. Comstock maintains physical, electronic, and procedural safeguards to comply with federal standards to guard its clients’ confidential personal information.

Should a client agree to accept financial services provided by Comstock, Comstock may share the client’s non-public information with certain affiliated and non-affiliated third parties.

If you have any questions or concerns regarding this policy, you may contact Comstock at 310-278-6444 or by email at jbalash@comstockpartners.com.

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Prior to the enactment of the United States Patriot Act, also known as the “Money Laundering Abatement Act,” many financial institutions already had significant obligations to gather information about their customers in order to, among other things, “know their customers.” Current regulations and law require certain covered financial institutions and their associated persons to obtain information from their customers when opening accounts. The “pieces” of information that are required to be gathered may vary depending on both the type of account and “who” or on whose behalf the account is being opened. Effective October 1, 2003, we are required not only to gather certain information about our clients, additionally, we are required to verify certain pieces of this information.

Important Information About Procedures for Opening a New Account: To help the government fight the funding of terrorism and money laundering activities, Federal law requires broker-dealers and other financial institutions to obtain, verify, and record information that identifies each person with whom we conduct business.

What this means for you: we will ask for the following information in order to confirm the identity of the owners of any such account.

Owner’s name(s);
Owner’s address;
Owner’s date of birth; and
Any other information that will allow us to identify the account owner(s).

We may also ask to see your driver’s license or other identifying documents such as a passport or even a recent utility bill. We may also utilize certain non-documentary methods of verification such as credit reports or other information resources such as bad check databases.

We realize that some of these activities may appear intrusive and we truly appreciate your cooperation in helping us meet the requirements the United States Patriot Act has placed upon us. With your help, we can continue to keep our firm and your assets safeguarded against illegal activities such as money laundering or identity theft.

As always, we appreciate the privilege of having your business and look forward to continued growth and prosperity with one another.

The purpose of this Business Continuity Plan (BCP) summary is to ensure our clients that Comstock has a business continuity plan with detailed policies and procedures, which we will employ in the event of a Significant Business Disruption (SBD).

Comstock’s policy is to respond to a Significant Business Disruption (SBD) by taking reasonable measures designed to safeguard employees’ lives and Firm property, making a financial and operational assessment, quickly, as practicable, recovering and resuming operations, protecting the Firm’s books & records and allowing our clients to transact business. Comstock maintains alternate backup locations, but in the event that we determine we are unable to conduct business, we will take appropriate steps towards assuring clients prompt access to their funds and securities.

Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our Firm’s ability to communicate and do business, such as a flood or fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a blackout or a wide-scale, regional disruption.

Terms and Conditions of Use

By accessing and using this web-site and any pages within, you agree to the Terms and Conditions of Use as outlined below. If you do not agree with the terms and conditions as outlined below, please do not access or use this web-site.

Material presented on this website is for informational purposes only and should neither be considered investment advice nor a solicitation to buy or sell securities. Comstock only transacts business in states where it is properly registered, or excluded or exempted from registration requirements.

Modification and Monitoring of Web Site

Comstock reserves the right, at our discretion, to change, modify, add, or remove portions of these terms at any time. We suggest that you check these terms periodically for changes. The terms can be accessed from the link at the top right-hand side of our web pages. If you use this Web site after we post changes to the terms, you accept the changed terms. Comstock expressly reserves the right to monitor any and all use of this website.

Third-Party Content

This website may contain links to third party sites not under the control of Comstock and therefore is not to be held responsible for the content of those sites. Comstock is also in no way responsible for the content of any site owned by a third party that may be linked to Comstock website via hyperlink, whether such hyperlink is provided by Comstock or by a third party. No judgment or warranty is made with respect to the accuracy, timeliness, or suitability of the content of any site to which Comstock may link, including information on the site regarding Comstock. Any link that may be provided is not an endorsement of the company, the site or its contents. Comstock provides links for your convenience and does not verify or test the contents provided therein.

Disclaimers

Past performance may not be indicative of future results. Therefore, no current or prospective client should assume that the future performance of any specific investment, investment strategy (including the investments and/or investment strategies recommended and/or purchased by an advisor), or product made reference to directly or indirectly on this website, or indirectly via link to any unaffiliated third-party website, will be profitable or equal to corresponding indicated performance levels.

Different types of investments involve varying degrees of risk, and there can be no assurance that any specific investment will either be suitable or profitable for a client’s investment portfolio. No client or prospective client should assume that any information presented and/or made available on this Website serves as the receipt of, or a substitute for, personalized individual advice from the adviser or any other investment professional.

Limitations of Liability

Comstock and its affiliates are not liable under any circumstances, including but not limited to negligence, for any special, consequential or incidental damages that may result from the use of, or the inability to use, the materials on this site, even if Comstock has been advised of the possibility of such damages.

Comstock and its affiliates are not liable for damages or injury, including but not limited to damages or injury caused by any performance, failure of performance, error, omission, interruption, deletion, defect, delay in operation or transmission, computer virus, communications line failure, theft or destruction or unauthorized access to, alteration of, or use of information, whether resulting, in whole or in part, from breach of contract, tortious behavior, negligence, or otherwise. If you live in a state that does not allow the limitation or exclusion of liability for incidental, special or consequential damages, the above limitation or exclusion may not apply to you.

In no event shall Comstock’s total liability to you for damages, losses, and causes of action - whether in contract, tort (including, but not limited to, negligence), or otherwise - exceed the amount paid by you, if any, for accessing Comstock’s site.

The information provided herein is the property of Comstock and its subsidiaries and may not be reproduced without written consent of the Company.