OptionsHouse

Initial Business Response / [redacted] (1000, 14, 2015/06/10) */ Mr [redacted] , As you correctly stated, OM Securities, LLC dba OptionsHouse ("OptionsHouse") systems did prevent you from entering orders in your account ending XXXXXon May 14, in [redacted] and we were fully within our right to do soAs detailed in Section of our Customer Agreement (receipt of which you acknowledged at the time you opened your account), "OptionsHouse may reject any order you place with it, or place restrictions on your Account in OptionsHouse's sole discretionYou understand that OptionsHouse reserves the right to refuse or reject, and assumes no responsibility for, orders sent through the mail for the purchase or sale of securities, options, assets or other property." https://www.optionshouse.com/forms/optionshouse-customer-agreement/ Please note that [redacted] is a Foreign Security (F Stock) and an [redacted] securityThese F stocks are restricted for trading by our clearing firm, [redacted] as they are not supported for trade settlement Based on the review we've conducted and the information we've been presented, we believe OptionsHouse acted in good faith and has determined that no compensation or trade adjustment is warrantedI trust that this information addresses the issues raised in your complaint

Contact Name and Title: *** *** **
Contact Phone: ***
Contact Email: ***
The online LLC account application was submitted online on September 22, As an LLC account application, additional information is required in order to satisfy the Know
Your Client requirementsAn email was sent to you on September 23, and you responded with documentation next day September 24thThe documentation was reviewed but was insufficient to open the account
On September 25, funds were received in the account through an ACH transfer from a bank account at *** Bank ending in -*** For security purposes any funds transferred into an *** account via ACH are held for business days before they can be withdrawn
No additional documentation was received in order to open the account and per the client's request in the complaint, the funds have been credited back to the originating bank account ending in *** at *** Bank as of October 20, In addition, per the client's complaint, the account has been closed and OptionsHouse considers the matter resolved

Initial Business Response /* (1000, 14, 2015/06/10) */
Mr. [redacted],
As you correctly stated, OM Securities, LLC dba OptionsHouse ("OptionsHouse") systems did prevent you from entering orders in your account ending XXXXX998 on May 14, 2015 in [redacted] and we were...

fully within our right to do so. As detailed in Section 9 of our Customer Agreement (receipt of which you acknowledged at the time you opened your account), "OptionsHouse may reject any order you place with it, or place restrictions on your Account in OptionsHouse's sole discretion. You understand that OptionsHouse reserves the right to refuse or reject, and assumes no responsibility for, orders sent through the mail for the purchase or sale of securities, options, assets or other property."
https://www.optionshouse.com/forms/optionshouse-customer-agreement/
Please note that [redacted] is a Foreign Security (F Stock) and an [redacted] security. These F stocks are restricted for trading by our clearing firm, [redacted] as they are not supported for trade settlement.
Based on the review we've conducted and the information we've been presented, we believe OptionsHouse acted in good faith and has determined that no compensation or trade adjustment is warranted. I trust that this information addresses the issues raised in your complaint.