Business Continuity Plan Summary

WestPark Capital Inc.’s policy is to respond to a Significant Business Disruption (SBD) by safeguarding our property and the lives of our employees, by making the appropriate assessments to ensure that we can complete the following:

• Resume operations,
• Protect all of WestPark Capital’s books and records,
• Allow our customers to continue to conduct business, and
• Allow customers prompt access to fund and securities.

Significant Business Disruptions (SBDs)

Our plan anticipates internal and external disruptions. Internal disruptions affect only our ability to communicate and conduct business, such as a power outage or fire. External disruptions prevent the operation of the securities markets or a number of many firms, such as an earthquake, terrorist attack or widespread disruption. Our response to an external disruption relies more heavily on other organizations and systems especially including our clearing firm.

Our clearing firm is Legent Clearing, LLC, 9300 Underwood Avenue, Suite 400, Omaha, NE 68114-2685.
Telephone: (402) 384-6100 or (800) 811-3487.

Office Locations

Our Offices of Supervisory Jurisdiction are located in Los Angeles, California and Boca Raton, Florida.

Corporate Headquarters – Los Angeles, CA

Our Los Angeles office is located at 1900 Avenue of the Stars, Suite 310, Los Angeles, CA 90067. Our main telephone number is (310) 843-9300. Our employees may travel to this office by means of foot, car, train, bus, and plane. We engage in order taking and entry at this location.

Boca Raton, Florida

Our Boca Raton, Florida office is located at 225 N.E. Mizner Blvd., Suite 750, Boca Raton, FL 33432. Its main telephone number is (561) 427-2424. Our employees may travel to this office by means of foot, car, train, bus, boat, and plane. We engage in order taking and entry at this location.

Customers’ Access to Funds and Securities

The Firm does not maintain custody of customers’ funds or securities. Customer funds and securities are carried by our clearing firm, Legent Clearing, LLC. In the event of an internal or external SBD, if telephone service is available, our registered persons will take customer orders or instructions and contact our clearing firm on their behalf, and if our Web access is available, we will post on our website notification so customers may access their funds and securities by contacting Ray Maratea, Co-President, Legent Clearing at (402) 384-6100 or (800) 811-3487.

Data Back-Up and Recovery (Hard Copy and Electronic)

The Firm maintains its primary hard copy books and records and its electronic records at our Corporate Office in Los Angeles, California. A Designated Principal is responsible for the maintenance of these books and records. Hard copies of books and records and electronic records are also maintained at our clearing firm.

The Firm’s computer server, hard copy books and records and other electronic records are backed up daily and retained off-site in a secure location. In addition, we have engaged the services of an independent technology firm that automatically backs up our records daily.

In the event of an internal or external SBD that causes the loss of our paper records, we can and will physically recover them from our back-up site at Legent Clearing, LLC. If our primary site is inoperable, we will continue operations from our back-up site or an alternate location. For the loss of electronic records, we will either physically recover the storage media or electronically recover data from our back-up site, or, if our primary site is inoperable, continue operations from our back-up site or an alternate location.

Order Taking

Currently, the Firm receives orders from customers via telephone as well as in-person visits. During an SBD, either internal or external, we will accept transaction orders from our customers through telephone, fax, email, or through our clearing firm at (800) 811-3487 or (866) 774-0218 or (402)384-6100. As communications permit, we will notify our customers when communications vehicles become available regarding what alternatives are available to them to transmit orders to us. Our initial method of communication to our customers will be via telephone, if available.

Other Services Currently Provided to Customers

In addition to those services listed above, we also receive requests for account journals of securities, monies and stock certificates, stock certificates received and mailed out, change of address, and overall customer service. In the event of an internal SBD, we request all customers to contact Legent Clearing, LLC directly at (402) 384-6100 or (800) 811-3487. In the event of an external SBD, we would document all requests and forward to our clearing firm via the best available means. If none are available, we will notify customers of the delay, then forward to our clearing firm as soon as possible.