Terms and Conditions
By entering our website, you acknowledge your agreement with and understanding of the following Terms and Conditions of Use pertaining to this website including all material on it.
Ownership and Trademarks
"Marlin & Associates" is the trade name for Marlin & Associates Holding L.L.C. and its affiliates ("Marlin & Associates" or the "Company"). The trademarks, logos and service marks shown on this website are registered trademarks of Marlin & Associates. Nothing on this website shall be interpreted as granting any license or right to use any image, trademark, logo or service mark on the website. Copying or downloading material from this website does not transfer title to any material on this website to you. You are prohibited from using any marks for any purpose including, but not limited to, use as metatags on other pages or sites on the World Wide Web without the written permission of Marlin & Associates or such third party, which may own the marks. Anything transmitted to this website by you becomes Marlin & Associates' property and may be used by us for any lawful purpose. Marlin & Associates reserves all rights with respect to copyright and trademark ownership of all material at this website, and will enforce such rights to the full extent of the law.
Regulatory Matters
United States Users - Marlin & Associates operates its U.S. Investment Banking Advisory businesses through Marlin & Associates Securities L.L.C. ("Marlin & Associates Securities"), which provides financial advice on mergers, acquisitions, financial restructurings and similar corporate finance matters. Marlin & Associates Securities is regulated by the Financial Industry Regulatory Authority, Inc. (www.finra.org) and the U. S. Securities and Exchange Commission (www.sec.gov).
The information and services provided on this website are not provided to and may not be used by any person or entity in any jurisdiction where the provision or use thereof would be contrary to applicable laws, rules or regulations of any governmental authority or regulatory or self-regulatory organization or where Marlin & Associates is not authorized to provide such information or services.
USA Patriot Act - Marlin & Associates hereby notifies you that pursuant to the requirements of the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)) (as amended, the "Act") and other applicable laws, rules and regulations, it is required to obtain, verify and record information that identifies its clients and their affiliates, which information includes the name, address and other information that will allow Marlin & Associates to identify its clients and their affiliates in accordance with the Act and such other laws, rules and regulations.
This website is provided for informational purposes only and is not directed at, or intended for distribution to or use by, any person or entity who is a citizen or resident of or located in any jurisdiction where such distribution, publication, availability or use would be contrary to applicable law or regulation which would subject Marlin & Associates or its affiliates to any registration or licensing requirements with such jurisdiction.
Disclaimer of Warranties
The information, products and services on this website are provided on an "AS IS," "WHERE IS" and "WHERE AVAILABLE" basis. Marlin & Associates does not warrant the information or services provided herein or your use of this website generally, either expressly or impliedly, for any particular purpose and expressly disclaims any implied warranties, including but not limited to, warranties of title, non-infringement, merchantability or fitness for a particular purpose. Marlin & Associates will not be responsible for any loss or damage that could result from interception by third parties of any information or services made available to you via this website. Although the information provided to you on this website is obtained or compiled from sources we believe to be reliable, Marlin & Associates cannot and does not guarantee the accuracy, validity, timeliness or completeness of any information or data made available to you for any particular purpose.
Neither Marlin & Associates, nor any of its affiliates, members, directors, officers or employees, nor any third party vendor, will be liable or have any responsibility of any kind for any loss or damage that you incur in the event of any failure or interruption of this website, or resulting from the act or omission of any other party involved in making this website, the data contained herein or the products or services offered on this website available to you, or from any other cause relating to your access to, inability to access, or use of the web website or these materials, whether or not the circumstances giving rise to such cause may have been within the control of Marlin & Associates or of any vendor providing software or services. In no event will Marlin & Associates or any such parties be liable to you, whether in contract or tort, for any direct, special, indirect, consequential or incidental damages or any other damages of any kind even if Marlin & Associates or any other such party has been advised of the possibility thereof. This limitation on liability includes, but is not limited to, the transmission of any viruses which may infect a user's equipment, failure of mechanical or electronic equipment or communication lines, telephone or other interconnect problems (e.g., you cannot access your internet service provider), unauthorized access, theft, operator errors, strikes or other labor problems or any force majeure.
Marlin & Associates cannot and does not guarantee continuous, uninterrupted or secure access to the web website.
No Offers or Reliance
No material at this website shall be used or considered as an offer to sell or a solicitation of any offer to buy the securities or services of Marlin & Associates or any other issuer. Offers can only be made where lawful under, and in compliance with, applicable law.
Marlin & Associates makes no representations that transactions, products or services discussed on this website are available or appropriate for sale or use in all jurisdictions or by all investors. Those who access this website do so at their own initiative and are responsible for compliance with local laws or regulations.
While Marlin & Associates uses reasonable efforts to obtain information from reliable sources, Marlin & Associates makes no representations or warranties as to the accuracy, reliability or completeness of any information or document at this website obtained outside of Marlin & Associates. Opinions and any other contents at this website are subject to change without notice.
Marlin & Associates is not utilizing this website to provide investment or other advice, and no information or material at this website is to be deemed a recommendation to buy or sell any securities or is to be relied upon for the purpose of making or communicating investment or other decisions. Any transactions listed on this website are included as representative transactions and are not necessarily reflective of overall performance.
Marlin & Associates does not advise on the tax consequences of any investment.
Proprietary Rights
All right, title and interest in this website and any content contained herein is the exclusive property of Marlin & Associates, except as otherwise stated. Unless otherwise specified, this website is for your personal and non-commercial use only and you may print, copy and download any information or portion of this website for your personal use only. You may not modify, copy, distribute, transmit, display, perform, reproduce, publish, license, frame, create derivative works from, transfer, or otherwise use in any other way for commercial or public purposes in whole or in part any information, software, products or services obtained from this website, except for the purposes expressly provided herein, without Marlin & Associates' prior written approval. If you copy or download any information or software from this website, you agree that you will not remove or obscure any copyright or other notices or legends contained in any such information.
Use of Links
This website contains links to third party web sites. These links are provided only as a convenience. The inclusion of any link is not and does not imply an affiliation, sponsorship, endorsement, approval, investigation, verification or monitoring by Marlin & Associates of any information contained in any third party website. In no event shall Marlin & Associates be responsible for the information contained on that website or your use of or inability to use such website. You should also be aware that the terms and conditions of such website and the website's privacy policy may be different from those applicable to your use of this website.
Business Continuity Disclosure
Marlin & Associates has developed and implemented a Business Continuity Plan (BCP) designed to address and mitigate the potential consequences of a significant business disruption with a goal of recovering the key aspects of our business within twenty four hours or less. Our BCP also is designed to safeguard employees and protect our books and records.
We further believe that we have implemented reasonable and prudent measures to overcome or at least mitigate the consequences of an event that would otherwise interfere with the normal course of our business. However, because it is not possible to anticipate the nature, scope, impact and consequence of every possible business disruption, Marlin & Associates does not represent or guarantee that it will be able to continue or resume business operations within any specified period of time under all circumstances.
Our BCP is subject to periodic modification. A copy of the summary of our BCP is available upon request by writing Marlin & Associates 570 Lexington Avenue, 48th Floor, New York, NY 10022.
CUSTOMER COMPLAINT NOTICE DISCLOSURE STATEMENT
SEC Rule 17a-3(a)(18)(ii)
Marlin & Associates, in accordance with Rule 17a-3(a)(18)(ii), is furnishing this statement to provide you with a name, telephone number and address, if you ever need to report or notify us of a possible complaint. If, for any reason, you feel you have a complaint, please contact our Chief Compliance Officer immediately by telephone at (212) 257-2300 or by mail at:
Marlin & Associates Securities L.L.C.
570 Lexington Avenue, 48th Floor
New York, NY 10022
Attn: Compliance Department
Marlin & Associates Securities is a member of FINRA and SIPC
Customer Identification and Privacy Disclosure
Marlin & Associates collects nonpublic, and in some instances, personal information about our customers from account applications and other forms that provided or submitted by you.
Marlin & Associates will not disclose any nonpublic personal information about its customers or former customers to anyone, except as permitted or required by law. We will verify any identification information provided by you through various sources, as required by regulation.
We restrict access to nonpublic personal information about customers to those employees and agents who require the information to service your account. We maintain physical, electronic and procedural safeguards that comply with federal standards to guard your nonpublic personal information.
COPYRIGHT NOTICE. © 2021 Marlin & Associates Holding L.L.C. All rights reserved.
Rev. March 2021