Business Continuity Plan

B. Riley & Co., LLC 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, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us – In case of an emergency, you should attempt to contact our home office in Los Angeles, CA first. If you are unable to reach someone in Los Angeles, you should attempt to contact someone in our other offices.

Los Angeles Office

    Main Switchboard: 310-966-1444
    Trading: 310-966-1440, 888-295-0155, 310-966-1441
    Research: 310-966-1443
New York Office 212-377-4560

Orange County Office 949-852-9911

San Francisco Office 415-692-3020

Pennsylvania Office 610-572-1609

If we are completely unreachable, please contact our clearing firm, Goldman Sachs Execution & Clearing, (“GSEC”), at (212) 357-2266 or at www.redi.com for instructions on how it may, to the extent practicable under the circumstances, provide prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions for you. You should understand that if you have a retail account with B. Riley & Co., LLC, GSEC maintains custody of your funds and securities. GSEC’s own Global Business Continuity Planning Summary is available upon request.

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible.

The plan addresses, among other things: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business. The plan also covers disruptions that may affect each office across the country.

GSEC backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, we have been advised by GSEC that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within the same business day. Please be aware that your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions – Significant business disruptions and its degree of severity can vary in their size and scope. We plan to continue business operations, transfer operations to our clearing firm if necessary, and notify you through our web site www.brileyco.com or our customer emergency number, (310) 966-1444 on how to contact us and the time frame that we expect to resume business operations. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

For more information – If you have questions about our business continuity planning, please contact Allison Brogan at (310) 966-1444 or email abrogan@brileyco.com.