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Business Continuity Planning Disclosure Overview Of M. E. Allison & Co., Inc. M. E. Allison & Co., Inc. (the "Firm" or "M. E. Allison") is a full service independent broker/dealer. Our Firm operates as an introducing firm on a fully disclosed basis. Our Firm clears trades through Southwest Securities Inc. Our Firm and our clearing firm use various mission critical systems to provide services to our customers.
www.finra.org Our business continuity planning ("BCP") first insures the safety and security of our employees. The events of 9/11 emphasized the unique skills of personnel who work in our industry, and the need to put their safety first so that after an interruption they are available to continue serving our customers. In addition to protecting our personnel, our BCP and daily operations are focused on preserving our critical Firm and customer data through regular backups which are moved offsite either via media and/or real time and near real time electronic copies of our data at remote locations. Business Disruption to Building In the case of a business disruption at our building, our Firm has made arrangements to move our employees temporarily to the office of another broker/dealer. Our Firm expects to be able to conduct business within four (4) hours of a building shutdown. Business Disruption to Business District Our Firm's site for resumption of business is outside of our local business district. Recovery time should be within four (4) hours. Business Disruption to City Our Firm will notify customers they may contact their brokers at the following alternate phone numbers: 210-573-4775 Or they may contact our clearing firm directly at the following (please have available all associated documents necessary to identify the account owner): Southwest Securities, Inc. And this information is posted on our Firm's Website: www.meallison.com Business Disruption to Whole Region Customers will be notified that they may contact our clearing firm directly at the address above. Our clearing firm expects to be able to restore access to data within fifteen (15) minutes using backup generators. If they are required to activate their business resumption space, the planned recovery time for mission critical functions is four (4) hours. Our planned recovery times for business disruptions may be negatively impacted by the unavailability of external resources and other circumstances beyond our control. Additional information will be available at our clearing firm's Significant Business Disruption Line - 866-797-5227.
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© 2004 - 2010 M.E.Allison & Co.
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We are a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). You may obtain additional information relating to these entities at their respective website addresses as follows: