Disclaimer

Rok & Dire, LLC (hereinafter “Rok & Dire”) hereby discloses and disclaims the following:

Rok & Dire expressly represents that it is NOT AN INVESTMENT ADVISOR and will not provide investment advice of any kind. Rok & Dire recommends that you obtain investment advice from a licensed and qualified investment advisor.

 

Rok & Dire further represents that it is NOT A TAX ADVISOR and will not provide any advice with respect to tax implications, consequences and/or responsibilities with respect to any loan transaction. Rok & Dire recommends that you obtain tax advice from a licensed and qualified attorney and/or tax advisor.

 

Rok & Dire also expressly represents that it DOES NOT HAVE LEGAL TRAINING, does not have legal expertise and will not provide you with any legal advice. You should not make any assumptions and/or rely upon any advice given by Rok & Dire as constituting legal advice. Furthermore, Rok & Dire expressly recommends that you obtain legal advice from a licensed and qualified attorney.

 

Any statements made by Rok & Dire during its business relationship with you that express or involve discussions with respect to predictions, expectations, beliefs, plans, projections, objectives, goals, assumptions or future events or performance are not statements of historical fact and may be “forward looking statements.” Forward looking statements are based on expectations, estimates and projections at the time the statements are made that involve a number of risks and uncertainties which could cause actual results or events to differ materially from those presently anticipated.

 

YOU ACKNOWLEDGE THAT YOU HAVE READ THE FOREGOING DISCLAIMERS PERTAINING TO THE SERVICES TO BE PROVIDED BY ROK & DIRE AND FULLY UNDERSTAND THAT ROK & DIRE WILL NOT GUARANTEE THE SUCCESS OF ANY BUSINESS RELATIONSHIP ENTERED INTO WITH ROK & DIRE AND ROK & DIRE WILL NOT PROVIDE ANY INVESTMENT ADVICE, TAX ADVICE AND/OR LEGAL ADVICE OF ANY KIND.

Simple Stock Loans by Rok & Dire LLC Disclosure Statement

Rok & Dire LLC is not a registered securities broker-dealer or an investment adviser with the U.S. Securities and Exchange Commission (the “SEC”) or with any state securities regulatory authority. Rok & Dire LLC, its managers or affiliates have not been registered and do not plan to be registered under the Investment Advisers Act of 1940 or any similar state or foreign securities laws. Rok & Dire LLC is not registered under the Investment Company Act of 1940 or under any similar state or international securities laws.

About ROK & DIRE LLC

Rok & Dire LLC manages assets in a variety of industries and is aligned with family offices providing investors with securities-backed, non-recourse loans. Our borrowers often hold shares that are hard to deposit or are ineligible for a margin loan from their broker. We help solve their liquidity problems.