SEC Rule 606 Disclosure
Rule 606 requires broker-dealers that route customer orders in equity and option securities to make publicly available quarterly reports that identify the venues to which customer orders are routed for execution. You may locate our quarterly report required under Rule 606 at ftp://public.s3.com/rule606/mixit_ung/
Business Continuity Plan
You can access our BCP from the following link: Business Continuity Plan
Any material customer complaints should be sent in writing to:
Union Gaming Advisors
3930 Howard Hughes Pkwy Ste 230
Las Vegas, NV 89169
Attn: Greg Welk
Please be aware that Union Gaming Advisors is registered with FinCen the United States Government website for Financial Crimes Enforcement. Union Gaming reviews all accounts and reports any positive match to FinCen.
3rd Party Research Disclosures
In regards to Research distributed by Union Gaming Advisors the following disclosures apply.
Research May Not be Current
Union Gaming Advisors intends that its affiliates research reports be useful and believes that, as of the date of its first publication, it is accurate. However there is no representation that the information is accurate, complete or current or that it reflects the current opinion or all information known to Union Gaming Advisors.
Research Reports Are Not Recommendations or Solicitations
These reports do not represent a recommendation to undertake transactions in the subject securities. The reports do not represent an offer to buy or sell a security or a solicitation to do so.
Union Gaming Advisors disclaims any warranty of any kind, whether express or implied, as to any matter whatsoever relating to these research reports. You understand that these research reports are provided on an “as is” basis for use at your own risk, and Union Gaming Advisors is not liable for any damages or injury resulting from use of this information. Performance data is provided by sources which we believe to be reliable, but there is no assurance that such information or calculations prepared using such information, are accurate or complete.
Securities Discussed in Research Reports May Not Be Suitable Investments
Some or all of the securities discussed in these research reports may be speculative or high risk, and unsuitable for many investors. Union Gaming Advisors makes no representation as to the suitability of these securities for individual investors. Investors must make their own determination as to the suitability of such investments, based on factors including their investment objectives, financial position, liquidity needs, tax status, and level of risk tolerance.