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Stocks with Potentially Elevated Risks

For various reasons the following securities may be trading with elevated risks. While we always encourage informed participation in the market, we would like you to be aware that increased due diligence prior to investing in these particular names may be prudent.

While the firm has chosen to place increased risk controls on these securities **please note that the purchase of these securities is not restricted ** at this time. This is not new. Our risk team is constantly monitoring several risk factors and makes real-time adjustments to our risk controls. We feel it is, now more than ever, important to be transparent.

Investing in all securities involves risk, including loss of principal.

Additional Information

* "No" in this case would mean the short requirement for the security is set to 1000%.