ROTH Capital Partners, LLC

Description

Roth Capital Partners, LLC (“ROTH”) has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, Roth will have to be flexible in responding to actual events as they occur. With that in mind, Roth is providing you with this information on its business continuity plan. Contacting Us - If after a significant business disruption you cannot contact us as you usually do at (949) 720-5700, you should call our alternative number (949) 375-0579 or go to our web site at www.roth.com . If you cannot access us through either of those means, you should contact our clearing firm, Broadcort, a division of Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Broadcort”), at 646-743-0110 for instructions on how you can enter orders, access your funds and other account related information.

ROTH Capital Partners, LLC is furnishing this document to you to provide some basic facts about purchasing securities on margin, and to alert you to the risks involved with trading securities in a margin account, as required by NASD Rule 2341. Before trading stocks in a margin account, you should carefully review the margin agreement provided to you. Consult with your account representative regarding any questions or concerns you may have with your margin accounts. When you purchase securities, you may pay for the securities in full or you may borrow part of the purchase price from the clearing firm (“The Firm”). If you choose to borrow funds from the firm, you will open a margin account with the firm. The securities purchased are the firm’s collateral for the loan to you. If the securities in your account decline in value, so does the value of the collateral supporting your loan, and, as a result, the firm can take action, such as issue a margin call and/or sell securities or other assets in any of your accounts held with the firm, in order to maintain the required equity in the account.

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