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Member:  Financial Industry Regulatory Authority (FINRA), National Investment Bankers Association (NIBA), Securities Investor Protection Corporation (SIPC), National Traders Association (NTA).

Pursuant to Rule 2280 of the FINRA Rules, Paulson Investment Company, Inc., would like to direct you to 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:  Paulson Investment Company, Inc.'s Compliance department is staffed by professionals experienced in all aspects of the securities industry.  Their well-established policies and procedures assure both broker and investor that all activities conducted by the firm conform to established rules and regulations, and meet the highest standards.

Clearing Firm: Paulson Investment Company, Inc. uses RBC Dain Correspondent Services, a division of RBC Dain Rauscher, Inc. (“RBC Dain CS”), as its “clearing firm” and RBC Dain CS “carries” your account on behalf of Paulson Investment Company, Inc.  RBC Dain CS is a fully disclosed, full-service clearing and execution firm for various FINRA registered security broker-dealers and their Financial Consultants. RBC Dain CS is a division of RBC Dain Rauscher Inc. (“RBC Dain Rauscher”), one of the nation’s largest full service brokerage firms. In addition to Paulson Investment Company, Inc., RBC Dain CS conducts clearing operations for well over 100 other correspondents across the country.

As our clearing firm, RBC Dain CS will perform certain centralized cashiering, bookkeeping, and execution functions for your cash and margin accounts. In addition, RBC Dain CS will handle the delivery and receipt of securities purchased or sold by clients, receive and distribute dividends and other distributions, process exchange offers, rights offerings, warrant exercises, tender offers, and redemptions. RBC Dain Rauscher also extends credit for the purchase or sale of securities in margin accounts in accordance with the margin agreement between you and RBC Dain Rauscher.

Accordingly, all checks remitted for deposit to your account must be made payable to “RBC Dain Rauscher” and should reference your Paulson Investment Company, Inc. account number.

Customers who maintain a Cash Account may be charged separate interest charges for securities purchased when payment is received past settlement date.

Please note that when you deliver securities or funds to Paulson Investment Company, Inc., we assume responsibility for their receipt. Your account assets will be protected by the Securities Investors Protection Corporation (“SIPC”), and an additional policy purchased from Lloyd’s of London. The policy provides an additional $99.5 million per client of coverage for securities above that provided by SIPC, subject to a $400 million aggregate limit. This includes protection for cash of up to $900,000 over the $100,000 provided by SIPC. Neither SIPC protection, nor the protection in excess of that provided by SIPC, 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: www.sipc.org or by contacting them at (202) 371-8300.

Legal Notices:  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.  Paulson Investment Company, Inc. 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.

Paulson Investment Company, Inc. may make a market in certain securities in this site.  These markets may, however, be discontinued without notice.  Individuals associated with Paulson Investment Company, Inc., its officers and/or directors may hold shares in certain securities mentioned on this site and may increase or decrease such holdings without notice.  Persons mentioned in this site may only transact business in states in which they have been properly registered or are 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 party for any 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 Paulson Investment Company, Inc. has been advised of the possibility of such damages.

Paulson Investment Company, Inc. 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.