Compliance & Legal Notices

Industry Memberships:  Financial Industry Regulatory Authority (FINRA), Securities Investor Protection Corporation (SIPC).

FINRA Notice:  Pursuant to FINRA Rule 2280, The Jeffrey Matthews Financial Group, LLC, would like to make you aware of an important brochure offered by FINRA regarding investing and its associated risks.  You may request the FINRA Investor Brochure by calling the FINRA hotline at (800) 289-9999 or visiting their website at www.finra.org.  Information regarding the process of verifying registration and disclosure information related to registered representatives and broker/dealer entities is also available through these sources.

Compliance Department:  The Jeffrey Matthews Financial Group, LLC’s Compliance Department is responsible for establishing and maintaining policies and procedures designed to ensure the Firm’s compliance with industry laws, rules, and regulations.  If you have any questions regarding regulatory compliance or you would like to discuss your account with Firm management, please contact:

Clearing Firm:  The Jeffrey Matthews Financial Group, LLC clears its brokerage operations on a fully disclosed basis through RBC Clearing & Custody Services (“RBC C&C”), a division of RBC Capital Markets Corporation (“RBC CM”).  As our clearing firm, RBC C&C performs certain centralized cashiering, recordkeeping, and execution functions for your cash, margin, retirement or other brokerage accounts.  In addition, RBC C&C handles the delivery and receipt of securities purchased or sold by clients, receives and distributes dividends and other distributions, processes exchange offers, rights offerings, warrant exercises, tender offers, and redemptions. RBC CM also extends credit for the purchase or sale of securities in margin accounts in accordance with the margin agreement between you and RBC CM.

Accordingly, all checks remitted for deposit to your account must be made payable to “RBC C&C” and should reference your Jeffrey Matthews Financial Group account number. Company policy prohibits the Firm from accepting cashiers, bank, or treasurers checks issued by a bank for an amount LESS THAN $10,000. Further information about this policy will be provided by contacting the Compliance Department.

RBC C&C reserves the right to charge separate interest for securities purchased in cash accounts when payment is received past settlement date. RBC CS charges fees related to inactive accounts, the deposit of physical certificates of certain low priced securities, margin extensions, wire transfers, overnight delivery, and similar activities. These fees will be assessed to each client account as applicable. Please contact the Compliance Department with any questions.

Please note that when you deliver securities or funds to The Jeffrey Matthews Financial Group, LLC, we immediately forward them to RBC CM.  We do not hold any customer securities or funds in our offices.  Your account assets held at RBC CM are protected by the Securities Investors Protection Corporation (“SIPC”), which protects brokerage clients in the event of the failure of a member firm.  SIPC reimburses clients the cash value of their securities up to $500,000 per client. Any cash in a client’s account would be reimbursed by SIPC up to 250,000 (reducing the $500,000 above).  RBC CM has purchased an additional policy that provides coverage in excess of the SIPC protection, covering an additional $99.5 million per client, subject to a $400 million aggregate limit. This includes protection for cash (credit balances not money market funds) of up to $900,000 over the $250,000 provided by SIPC.  Neither SIPC protection, nor the additional protection purchased by RBC CM, covers a decline in the value of a customer’s assets due to market loss.  You can obtain information about SIPC, including the SIPC brochure, by visiting the organizations website at www.sipc.org or by contacting them at (202) 371-8300.

Disclaimer:  The contents of this site are for informational purposes only and are not to be construed as an offer to sell or a solicitation to buy any securities.  Such offers can only be made where lawful under applicable law.  The contents of this site have been compiled from sources which we believe to be reliable but are not guaranteed.  The Jeffrey Matthews Financial Group, LLC does not warranty, guarantee or make any representations, or assume any liability with regard to financial results based on the use of information in the site.

Individuals associated with The Jeffrey Matthews Financial Group, LLC, its officers and/or directors may hold a position in certain securities mentioned on this site and may increase or decrease such holdings without notice.  The Jeffrey Matthews Financial Group, LLC may only transact business in states in which it has been properly registered or is exempt from registration.  U.S. investors should be advised that not all investments discussed in this site may be available in all states.  In no event shall The Jeffrey Matthews Financial Group, LLC be a party to any claim for damages of any kind arising out of or relating to the use of this site or its contents, including, but not limited to, any lost profits, lost opportunity, special, incidental, indirect, consequential or punitive damages, even if The Jeffrey Matthews Financial Group, LLC has been advised of the possibility of such damages.

The Jeffrey Matthews Financial Group, LLC is not liable for any harm caused by the transmission, through accessing the services or information in this site, of a computer virus, or other computer code or programming device that might be used to access, delete, damage, disable, disrupt or otherwise impede in any manner, the operation of the site or of any user’s software, hardware, data or property.

The use of this website is at your own risk.