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NOTICE OF GAGNON SECURITIES In compliance with SEC Regulation SP we notify you annually of our
policies and procedures with regards to how we handle client’s records. Gagnon Securities has a long standing
policy committed to protecting our client’s confidentiality and the
security of all information obtained from our clients. If you have any questions or concerns
regarding these procedures discussed below please do not hesitate to call me
directly. Prior to opening an account with us we obtain directly from you financial
and personal information. This
information is used by your broker and our management team to evaluate
suitability for our investment approach, as well as to determine how together
we can meet your individual investment goals. Periodically we will ask that
you furnish us with updated information.
All persons employed with Gagnon Securities have access to this
information for administrative purposes.
All client files and records are kept within a secured area of the
office clearly marked authorized personnel only. Our employees are required to protect our
client’s confidentiality and access information only when appropriate
to do so. Violators of our policies
would be subject to disciplinary action and or legal action per our
confidentiality agreement that all employees are required to sign. As many of you know we clear all of our accounts through JP Morgan
Clearing Corporation on a fully disclosed basis. Therefore, we forward all
information and documentation pertaining to your account to them at the time
your account is opened. Moreover, JP
Morgan maintains this information and records all account activity. JP Morgan has their own privacy policy that
they will forward to you under separate cover. It is our policy not to share or disclose any information to any persons
or business entity except as permitted by law or specifically directed to do
so by our clients in writing. I hope you have found this brief discussion informative and if you have any questions please contact me directly at 212-554-5050. Thank you for your consideration. Sincerely, Susan Grant Chief Compliance Officer |
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NASD Members | Privacy Policy | SEC Fillings | Business Continuity | Alternate Investments |
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