Broadpoint Gleacher Securities Group, Inc. holds itself and its employees to the highest ethical standards. In order to maintain our high ethical business standard and positive image in the community, we encourage employees to freely discuss with management any situations or requests of a reasonable nature. We at the Company are committed to achieving compliance with all applicable securities laws and regulations, accounting standards, accounting controls and audit practices. As an employee of the Company, you may submit a good faith complaint regarding accounting or auditing matters to the management of the Company without fear of dismissal or retaliation of any kind.

To submit an anonymous complaint via the internet please click on the following link: http://www.compliance-helpline.com and log on to the site using the user name and password that was distributed to all employees. (This information is also available via the Company’s intranet site, BroadpointIntranet.) Once logged on, you will be prompted to input the information that will be needed to address your complaint. Or, if you prefer to register your complaint via the Company’s free anonymous voice mailbox, it can be reached by dialing 866.480.6132.