Pipeline Trading Systems LLC ("Pipeline") is registered with the SEC as a broker/dealer operating as an Alternative Trading System (the "System"). Pipeline, a member of the FINRA and SIPC, maintains offices in the cities of Boston, Chicago, New York, and San Francisco. Pipeline’s Supervisory Branch Office is located at 60 E. 42nd Street, New York, NY 10165, Telephone (212) 370-8336. The staff of both our Boston and San Francisco offices includes a resident registered principal; our representative office in Chicago is directly supervised through our NY branch. Pipeline is a fully-disclosed introducing broker; we clear our transactions through Pershing LLC, Clearing House Number 0443.
Pipeline may, in its sole and reasonable discretion, halt or suspend trading on the System, halt or suspend activity in any security on the System or make modifications to the System. All orders entered into the System are considered “not held” and “non-directed”; orders specifically designated to the contrary are rejected upon receipt. Pipeline may cancel transactions executed through the System if Pipeline determines in its sole and reasonable discretion that such transaction was clearly erroneous. Pipeline provides access to the System to Professional Investors at both Institutions and Brokerages. Brokerages may subsequently provide System access to their customers, including customers who may be affiliates of Pipeline Trading Systems LLC such as investors in Pipeline Trading Systems LLC, its parent Pipeline Financial Group, Inc., and the General and Limited Partners of such investors.
Pipeline maintains a robust Business Continuity Plan and an AML and related programs as required by the USA Patriot Act. Both these programs have been reviewed and attested to by a qualified third party as required by industry regulation. Additional details concerning these programs are available through our Compliance Department which can be reached at (212) 370-8336.
Unless otherwise stipulated in a duly executed agreement between Pipeline and a customer, PIPELINE AND ITS EMPLOYEES, AGENTS AND AFFILIATES SHALL NOT BE LIABLE FOR ANY INDIRECT, SPECIAL, INCIDENTAL, OR CONSEQUENTIAL DAMAGES OR LOSS OF PROFITS, LOSS OF USE, LOSS OF COST OR OTHER SAVINGS OR COSTS AND EXPENSES OF ANY NATURE OR FROM ANY CAUSE WHATSOEVER INCURRED BY CUSTOMER, ARISING OUT OF CUSTOMER'S USE OF, OR INABILITY TO USE, THE SYSTEM.
