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IMPORTANT MESSAGE: Investing in an IPO is subject to unique risks, tolerance for volatility, and potential loss of principal, that customers should be aware of prior to making an investment decision. Network 1 Financial cannot guarantee the availability of IPO shares for customers who submit conditional orders as the number of shares requested for distribution may exceed the supply. Important information concerning IPO participation is contained in the Terms and Conditions for IPO Participation.

There are additional risks to consider with Small-Company IPO and secondary offerings including risks of unproven management, companies that may have substantial debt, lack of profitable financial performance, dilution of share value to existing shareholders, liquidity of shares in the marketplace, regulatory uncertainty, and exchange-listing requirements. As with any investment decision you make at Network 1 Financial, you are responsible for determining whether an investment in an initial public offering, a follow-on offering, or small-cap offering is consistent with your investment objectives and risk tolerance. Read the prospectus carefully before making an investment decision.

Investing in securities involves risks that you should be aware of prior to making an investment decision, including the possible loss of principal. An investment in individual stocks, or a collection of stocks focused on a particular theme or idea may be subject to increased risk of price fluctuation over more diversified holdings due to adverse developments that can affect a particular industry or sector. Network 1 Financial makes no representation regarding the suitability of a particular investment or investment strategy. You are responsible for all investment decisions you make including understanding the risks involved with your investment strategy. Network 1 Financial a registered broker-dealer and member SIPC.

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