Maverick Trading strongly believes that the responsible use of personal information collected on its websites is critical to its business objectives and reputation. Your e-mail address and other details will only be retained for the purpose of providing you with our response to your query and will not be made available to any third party except as necessary to be disclosed to any Maverick Trading related entity for the purpose intended or as required to be disclosed under law. By submitting data on the Maverick Trading website, the visitor is providing explicit consent to transmission of data collected on the website.
We treat data as confidential within our firm and require a strict adherence of all our employees to data protection and our confidentiality policies. All visitors, however, should be aware that our website may contain links to other sites that are not governed by this or any other privacy statement.
Maverick Trading wants to demonstrate its commitment to your privacy, so it has agreed to disclose its information practices and have its privacy practices reviewed for compliance by legal. If you have questions or concerns regarding this statement, you should first contact Customer Relations by one of the following methods:
You can send an email to: [email protected]
Or you can write to:
1910 East Fort Union Boulevard
Cottonwood Heights, UT 84121
Information We Collect and How It’s Used
Maverick Trading is committed to protecting your online privacy and security.
We collect or use the following anonymous Internet technologies: IP address of visitors to our Web page, Cookies as assigned by this IP address and Clear Gifs from emails and ad banners. We also collect aggregate information on what pages visitors’ access or visit, and visitor-specific information on what pages visitors’ access or visit.
- IP Address For each visitor to our website, our Web server automatically recognizes the visitor’s IP address, but not their email address nor any other personal information. We use the IP address to help diagnose problems with our server and to administer our website. Upon visiting our website, we assign each visitor a unique ID that is used to track visitor traffic patterns within our website. This ID is stored in a Cookie on the visitor’s machine.
- Clear GIFs
Also known as Web Beacons or Web Bugs, these tiny graphics inform us if a web page, an email, a banner ad, or other marketing campaign was viewed, opened, or accessed. They help us evaluate what content and campaigns are effective, and help us to manage our content to better serve your needs.
Maverick Trading does not (and can not) use IP addresses, Cookies, or Clear Gifs to retrieve any personal information about you or other computer users from your computer.
You can freely browse the Maverick Trading website at any time without revealing any personal information. However, there are areas on our website where you may voluntarily provide personal information. For example, you may provide personal information for the following situations:
- To share with partners or broker/dealers for the purpose of receiving information about a product or service in which you are interested.
- To receive information about partnering with partners or broker/dealers as providers of stock market research software
- To register to receive communications from partners or broker/dealers and other Maverick Trading-affiliated websites
- To share your comments or feedback about our websites.
If you choose to voluntarily provide personal information, we will only use it for the following purposes:
- To share with some of our partners for the purpose of sending you information about a product or service in which you have expressed interest.
- To enter into a business relationship with Maverick Trading as an affiliate, lender, broker, etc.
- To send communications that you have requested from Maverick Trading.
- To improve or customize the content and/or layout of our web pages.
- To contact visitors when necessary.
Information Sharing and Disclosure
Maverick Trading and Partners
Personal and Demographic Information will only be released to selected third parties in response to your request as specified below. We will not otherwise sell or rent personally identifiable information regarding our visitors to anyone. We do not share this information with any other third parties, and disclose it only in compliance with applicable laws and/or if we are responding to subpoenas, court orders, or other legal processes.
We will only share your personally identifiable information to other companies or people when you have consented to share your Personal Information with us by submitting it for a Broker/Dealer referral in order to provide the product or service you have requested. (Unless otherwise notified by us, these companies do not have any right to use the personally identifiable information we provide to them beyond what is necessary to assist you in servicing your request.)
To process your Broker/Dealer referral request, we require your name, phone number, email address, and estimated financial information such as net worth, salary, credit, etc. In select cases, a social security number may be requested for particular partners. This information – your personally identifiable information – is used by the broker/dealers, Maverick Trading and it’s agents to contact you regarding this inquiry.
From time to time, we make the email addresses of those who volunteer their email addresses to us available to other reputable organizations whose products or services we think you might find interesting. If you supply us with your postal address online, you may receive periodic mailings from us with information on new products and services or upcoming events. Also, you may receive mailings from other reputable companies. If you do not want us to share your email address or postal address with other companies or organizations, please let us know by following one of the options described in the Opt-Out/Choice section below.
Third-party advertising companies may serve ads on our website. These third-party advertising companies employ Cookies and/or Clear Gifs to measure and improve the effectiveness of ads for their clients. To do so, these companies may use anonymous information about your visits to our website and other websites. This information can include: date/time of banner ad has shown, the banner ad that was shown, Cookies, and the IP address. This information can also be used for online preference marketing purposes. Clear Gifs, Cookies, and the IP address are not tied to users’ personally identifiable information. If you want to prevent a third-party advertiser from collecting data, you may visit each ad-network’s website individually and opt-out, or visit the NAI gateway Opt-Out site to opt-out of all network advertising cookies. To visit the NAI gateway opt-out site, go to the following URL: http://www.networkadvertising.org/optout_nonppii.asp. This site will also allow you to review the third-party advertising companies’ privacy policies.
Spam is commercial email or unsolicited bulk email which has not been requested by the recipient. You will not receive modifiedmortgagesolution.com email communications unless you submit your email address and register to receive these communications. You may receive third-party emails advertising Maverick Trading products and services. We have established firm restrictions that ensure that our offers sent by third-parties are only sent to individuals that have given their permission to the third-party to receive these email communications. If you wish to retract this permission from the third-party, please follow their opt-out instructions.
Our website provides visitors the opportunity to opt-out of receiving communications from us, our partners, or third parties at the point where we request information about the visitor. This website gives the users the following options for removing their information from our database to not receive future communications:
- You can send an email to: [email protected]
- You can visit the URL: http://www.mavericktrading.com
- You can call: 1-800-558-6092
- You can write to: Maverick Trading, ATTN: Client Services, 1910 East Fort Union Boulevard, Cottonwood Heights, UT 84121
Upon request, we offer visitors the following options for changing and modifying information previously provided:
You can send an email to: [email protected]
You can visit the following URL: http://www.mavericktrading.com
We believe that your personal information should remain just that, Personal Information, by providing secure transmission and storing of your information. We always use industry-standard encryption technologies when transferring and receiving consumer data exchanged with our website and web server. This ensures that your personal information (i.e. name, address, etc) is not intercepted. Our services offer all personal data transmission through HTTPS, a secure Internet communications protocol.
When we transfer and receive certain types of sensitive information such as financial or insurance information, we redirect visitors to a secure server and will notify visitors through a pop-up screen on our website. Since only our web server holds the key, we are the only people who will be able to decrypt your information. Your information is then stored on a server that is separated from the Internet so that no one outside our office can retrieve your information.
We have appropriate security measures in place in our physical facilities to protect against the loss, misuse or alteration of information, which we have collected from you at our site, under our control.
Customers may then prevent their information from being used for purposes other than those for which it was originally collected by following one of the options described in the Opt-Out/Choice section below.
If you have questions or concerns regarding this statement, you should first contact Customer Relations by one of the following methods:
- You can send an email to: [email protected]
- You can visit the URL: http://www.mavericktrading.com
- You can call: 1-800-558-6092
- You can write to: Maverick Trading, 1910 East Fort Union Boulevard, Cottonwood Heights, UT 84121
I. Trading Can Be Extremely Risky
Trading is generally not appropriate for individuals with limited resources, investment experience, trading experience and low risk tolerance. Any investor or trader should be prepared to lose all of their investment capital in all circumstances. In particular, you should not fund trading activities with retirement savings, student loans, second mortgages, emergency funds, funds set aside for purposes such as education or home ownership, or funds required to meet your living expenses.
II. Be Cautious
Trading can lead to a large number of small losses, which may add up to be a significant amount. There is a possibility that you can lose your entire initial investment if you engage in trading habits that may be deemed as reckless and irresponsible.
III. All Types Of Trading Require Knowledge Of Securities Markets
Trading requires knowledge of the securities markets and trading techniques and strategies. In attempting to profit through trading, you must compete with professional, experienced traders employed by large, resourceful brokerage firms and hedge fund managers. You should have appropriate education, training and experience before engaging in trading.
Under certain market conditions, you may find it difficult or impossible to liquidate a position quickly at a reasonable price. This can occur, for example, when the market for a stock suddenly drops, or if trading is halted due to recent news events or unusual trading activity. The more volatile a stock is, the greater the likelihood that problems may be encountered in executing a transaction. In addition to normal market risks, you may experience losses due to system failures.
V. Trading On Margin Or Short Selling May Result In Losses Beyond Your Initial Investment
When you trade with funds borrowed from a firm or someone else, you can lose more than the funds you originally placed at risk. A decline in the value of the securities that are purchased may require you to provide additional funds to the firm to avoid the forced sale of those securities or other securities in your account. Short selling as part of your trading strategy also may lead to extraordinary losses because you may have to purchase a stock at a very high price in order to cover a short position.
Insider Trading Policy
MAVERICK PARTNERS, LLC
STATEMENT OF POLICY
PURSUANT TO THE
INSIDER TRADING AND SECURITIES FRAUD ENFORCEMENT ACT OF 1988
Effective May 4, 1998
(Updated June 27, 2010)
Maverick Partners, LLC is involved in activities that require strict compliance with federal and state laws and regulations applicable to securities transactions. Of particular concern are laws and regulations that prohibit so called “insider trading.” Trading on inside information violates both federal and state civil and criminal statutes, and may subject an individual to imprisonment, fines or monetary damages. MAVERICK PARTNERS may also be subject to fines if its member(s)/associate(s)s engage in such conduct.
Information is considered ‘non-public,’ if it is not available to a significant number of participants in the market or the public at large. Information is material if it would be important to an investor in making a decision to buy or sell a security.
It is the policy of MAVERICK PARTNERS that all member(s)/associate(s)s comply with insider trading laws and regulations as may involve its activities or the activities of related firms and, further, refrain from any action that may cause even the appearance of impropriety.
A member(s)/associate(s) of MAVERICK PARTNERS, who has material non-public information about any corporation or the market for the securities of such corporations, shall:
1) not communicate that information or recommend any trade of securities or derivatives based on that information to any customer of MAVERICK PARTNERS, or to any person who is likely to cause any trade of securities or further promulgate that information and
2) not cause any further trade of securities based on that information for his or her own account, or for any account for which he or she has a personal interest, whether the interest is pecuniary or otherwise. Such accounts include held in the name of an immediate family member [e.g. spouse or minor children], of anyone in the household who may be considered a dependent of the member(s)/associate(s), or of a relative or friend of that member(s)/associate(s).
In accordance with the reporting requirements of its regulatory authorities, and in order to comply with the firm’s internal rules and monitoring requirements regarding restricted securities and insider trading, MAVERICK PARTNERS member(s)/associate(s)s and registered traders will be required to notify the Firm of the existence of outside brokerage accounts held in the name of the member(s)/associate(s), registered trader, or immediate family members to the Compliance Officer of MAVERICK PARTNERS. The Firm will verify that all account statements received from outside brokers are properly identified on the corresponding account ID forms. If not, the account ID forms will be amended to bring them up to date. The firm tracks receipt of the statements on a monthly basis or quarterly basis if no activity. Once statements are received, they are reviewed first by Management and any activity is noted by symbol on the OBST for reference by the Compliance Officer. The Compliance Officer or designated Compliance staff then reviews the outside brokerage account statements for any unusual activity in accordance with the firm’s procedure including related activity between the outside brokerage accounts and the accounts held at MAVERICK PARTNERS. Such review will be documented by signing off on the spreadsheet or on the hard copy of the brokerage statements. This review will be done on a Quarterly basis. Should this review find unusual activity the Compliance Officer will report his findings at this time.
Exceptions to this policy will be made only in limited situations with the approval of the Compliance Officer. If permission is granted by the Compliance Officer, then duplicate confirmations and monthly statements must be sent by the outside firm directly to the Compliance Officer. All questions regarding outside accounts should be directed to the Compliance Officer.
All new member(s)/associate(s)s and registered traders of MAVERICK PARTNERS will be advised of this policy at the time of their employment and complete the attached form. All existing member(s)/associate(s)s and registered traders will be reminded periodically(semi-annually) of their obligation in this regard. If there are changes in the outside brokerage accounts MAVERICK PARTNERS will require notice within 10 days of the change.
MAVERICK PARTNERS, LLC – MEMBER(S)/ASSOCIATE(S) TRADING RULES
At the time of employment, all member(s)/associate(s)s are provided with a copy of our Statement of Policy regarding “insider trading.” Securities laws impose severe sanctions upon any individual who uses “inside information” for his/her own benefit or discloses it to others for their use. In addition,Maverick Partners, LLC, (“MAVERICK PARTNERS”) has an obligation to its clients to maintain confidentiality regarding their transactions.
In order to comply with Federal laws and to protect MAVERICK PARTNERS member(s)/associate(s) confidentiality,
Member(s)/associate(s)s may not base personal trading decisions on material non-public information or client information acquired in the performance of their duties. This includes information obtained from trading cards, phone orders or position summaries the member(s)/associate(s)s may handle for clients.
In addition to the internal rules set forth in the MAVERICK PARTNERS Statement of Policy, certain restrictions are placed on the activities of MAVERICK PARTNERS member(s)/associate(s)s that are inherent to the conduct of the day-to-day business on the physical floor of the Exchanges. These include, but are not limited to:
Any orders to execute personal trades must be made on the member(s)/associate(s)’s own time.
Any orders to trade either options or the stock underlying options listed on the appropriate and relevant exchange in an outside brokerage account from the trading floor must be pre-approved by the member(s)/associate(s)’s supervisor or a compliance staff.
Violations of the MAVERICK PARTNERS policies on insider trading or personal securities accounts are considered extremely serious and will [may] lead to disciplinary action, including possible termination of employment. Such a breach may also violate federal and state civil and criminal statutes and may subject the Individual to fines, imprisonment and monetary damages.
I have read and understand the Maverick Partners, LLC Statement of Policy and Rules, pursuant to the Insider Trading & Securities Fraud Enforcement Act of 1988.