Clients' Bill of Rights

Weintraub Financial, LLC believes that the needs of the investor always take precedence, including the right to high-quality products and services. To that end, we have developed the following list of investor rights:

• Investors should expect their financial advisor's assistance in helping them identify their investment goals and risk tolerance.
  
  
• Investors should expect their financial advisor's assistance in setting realistic expectations about the potential long-term risk and returns associated with different investments.
  
  
• Investors should be provided with responsible investment recommendations based on their objectives, time horizon, risk tolerance, and other factors they disclose to their financial advisor.
  
  
• Investors should be treated in a fair, ethical, and respectful manner in all interactions with their financial advisor.
  
  
• Investors have the right to competent and courteous service, and advice at a fair price.
  
  
• Investors have the right to clear and accurate explanations of their transactions.
  
  
• Investors have the right to know and understand the commissions and fees associated with their accounts.
  
  
• Investor statements should provide timely and accurate account transactional information and should reflect all positions held.
  
  
• Weintraub Financial, LLC will not sell, distribute, or make public any private investor or account information.

Investors have the right to fair consideration and a prompt
response should a problem arise with their accounts.