LEGAL NOTICES

Copyright and Trademark Information

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Business Continuity Plan

Important Notices in the case of Business Disruptions

Gruppo, Levey & Co. maintains a business continuity plan (the "Plan"). Consistent with regulatory requirements, Gruppo, Levey & Co. is providing to our clients this disclosure statement which summarizes the Plan. Clients should understand that because the Plan contains confidential details and proprietary information, it cannot be distributed outside of the firm. The Plan is reviewed annually and may be updated at any time.

The Plan is designed to be activated in the event of a significant business disruption. The Plan attempts to continue critical operations if an event were to occur that would impact the firm's business locations or systems. The Plan anticipates a variety of significant business disruptions and the actions Gruppo, Levey & Co. would take in the event of a building, citywide or regional incident. The Plan recovery provision depends on the severity of the disruption, and involves the possible relocation of personnel to a back up facility as well as the transfer of technological data processing to an alternative location.

To give clients a sense of the recovery time objectives for mission critical business resumption the Plan calls for 24 hours for most disruptions. For more severe incidents, such as a citywide disruption or a Regional disruption, our recovery time goal is to resume some aspects of critical business operations within 48 hours. We stress that these recovery time frames are objectives and may be negatively impacted by circumstances beyond our control.

Rule: NASD Rule 3510(e).

Gruppo, Levey & Co. plans to quickly recover and resume business operations after a significant business disruption (SBD) and respond by safeguarding our employees and properly, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. In short, our company's business continuity plan (BCP) is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD.

The BCP addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

The product sponsor or issuer maintains all records related to your investments and account holdings and backs up important records in accordance with their business continuity plan. For more information on their contingency plan, please contact the sponsor or issuer directly at the telephone number provided on your offering documents or through their website.

Significant Business Disruptions: The Company's plan takes into account two kinds of Significant Business Disruptions, internal and external. Internal SBDs affect only the Company's ability to communicate and do business, such as a fire or loss of electrical power in the office or building.

External SBDs prevent the operation of the securities markets or a number of irms, such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption in essential services.

Internal SBDs: In the event of a disruption in the Company's business operations due an internal SBD, the Company will attempt to continue to conduct business as usual by utilizing alternative communication methods (if available), such as the Internet, cell phones, etc., or by moving its operations to an alternative location.

If personnel or operations must be moved to an alternate location, the Company anticipates that it will resume regular operations within 2-4 hours.

External SBDs: In the event of a disruption in the Company's business operations due to an external SBD, the Company will attempt to continue to conduct business as usual by moving its operations to an alternative location outside the affected area, if possible, or by providing customers with alternative communication arrangements, as indicated below, to conduct business or to access their funds and securities.

The Company will attempt to resume business within 24-48 hours and to keep its customers informed regarding relevant events to the best of its ability based on the circumstances.

In all cases, the Company will resume normal business operations as soon as it is able to do so, based on the type and the extent of the disrupting event.

If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer's prompt access to their funds and securities.

Communications: In the event you are unable to reach the Company at our main number, please proceed as follows:

1. Contact the Company at the following alternate telephone number: 732-533-5074.

2. Access our affiliate Company's website at www.glconline.com

3. Contact the private placement issuer directly at the number listed on applicable offering documents.

4. Access the issuer website for more information on contacting this entity and their business continuity plans. The website address can generally be found on your offering documents.

5. Contact FINRA's District office for more information on the company's status and additional instructions.

6. Contact information: Any questions regarding the Company's Business Continuity Plans should be addressed to: Hugh Levey.

Customer Identification Program

To help the government fight the funding of terrorism and money laundering activities Federal Law (Section 326 of the USA/Patriot Act of 2001) requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. When you open an account with Gruppo, Levey & Co. we will ask you for your name, address, date of birth and other information that will allow Gruppo, Levey & Co. to identify you. Gruppo, Levey & Co. may also ask to see your driver's license or other identifying documents.

This information may be compared to information obtained through third party sources, as permitted by law. If Gruppo, Levey & Co. cannot verify this information your account may be restricted and/or closed and Gruppo, Levey & Co. will not be responsible for any losses nor damages (including, but not limited to lost opportunities) you may incur. If you have any questions regarding this disclosure, feel free to contact us at This e-mail address is being protected from spambots. You need JavaScript enabled to view it .