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SHAY FINANCIAL SERVICES, INC.
DISCLOSURE STATEMENT OF BUSINESS CONTINUITY PLAN
Our firm's policy is to respond to a Significant Business Disruption by safeguarding employees' lives and firm's property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm's books and records and allowing our customers to transact business. In the event that we determine we are unable to continue our business (Shay does not anticipate such drastic results), we will assure customers prompt access to their funds and securities. The firm, in case of a Significant Business Disruption, expects to resume business and operations within hours and positively, the same day. Off-site locations have been designated by our firm to resume operations promptly and avoid any down time in business and operations.
Our clearing firm, Pershing (for broker-dealer transactions and CD transactions) and for the Fund (Northern Trust Bk), will be available to assist Shay Financial Services, Inc. in case of a business disruption. In the event, Shay cannot be contacted by our customers, Pershing can be reached by calling Jeff Nicolassy at 201-413-3040 for securities clearing questions. The Fund would be contacted by the regular phone number at 1-800-527-3713 and call would be automatically forwarded to an authorized personnel. Otherwise, customers can access Shay's Web site at www.shay.com for all up to date information relating to a business disruption affecting the firm or call our regular contact numbers for information or forwarding.
A complete version of Shay Financial Services, Inc. Business Continuity Plan is available upon request.
Shay's Office Locations and Phone numbers:
Miami, Florida: 1000 Brickell Avenue, Suite 500, Miami, FL 33131, 305-379-6656
Chicago, Illinois: 230 West Monroe St., Suite 2810, Chicago, IL 60606, 312-214-1410
Summit, NJ: 350 Springfield Avenue, 3rd floor, Summit, NJ 07901, 908-273-3996
Irving, Texas: 8500 Freeport Parkway South, Suite 130, Irving, TX 75063 972-929-0771
Norwalk, CT: 83 East Avenue, Suite 201, Norwalk, CT 06851 203-853-2500
Wexford, PA: 12300 Perry Highway, Suite 308, Wexford, PA 15090 724-934-5710
Memphis, TN: 6410 Poplar Avenue, Suite 320, Memphis, TN 38119 901-261-5900
Midland, MI 148 East Main Street, Suite 200, Midland, MI 48640, 312-214-7480
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