This information is provided “as is” without warranty of any kind. Puma Capital, LLC, nor its directors, officers, employees or affilliates are responsible for any errors or omissions in the information. Puma Capital, LLC makes no representations and disclaims all express, implied and statutory warranties of any kind to the users and/or any third party, including any warranties of accuracy, timeliness, completeness, merchantability and suitability for any particular purpose or use whatsoever.

BCP Disclaimer

Puma Capital, LLC (“PUMA”) has developed a Business Continuity Plan (“BCP”) on how we will respond to significant business disruption (“SDP”) events. As the timing and impact of disasters and disruptions is unpredictable, we will be flexible in responding to actual events as they occur.

Contacting Us
During a significant business disruption, PUMA can be reached by dialing (212) 269-4100 or (212) 896-2844 or (646) 454-1971.  If you cannot access us through this mean, you should contact Penson Financial Services, Inc., our clearing firm, as follows: Within the US at (888) 836- 6798 or outside the US at (212) 981-3580.

Our Business Continuity Plan
We plan to recover and resume business operations quickly after an SBD by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing you to transact business. Our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data back-up and recovery; mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact and regulatory reporting.

Varying Disruptions
Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In an unexpected disruption to our Firm or the building housing our Firm, we will transfer our operations to a local site when needed and expect to recover and resume business within a four hour period. In an unexpected disruption affecting our business district, city, or whole region, we will transfer our operations to outside the affected area, recover and resume business within an eight hour period. In either situation, we plan to continue the normal course of business, transfer operations to our branch office in Miami, if necessary.

For more information or if you have questions about our business continuity plan, please contact us at one of the numbers provided above, or email us at jgreenstein@pumacap.com or skosson@pumacap.com.