The Pier LLC Code of Ethics sets standards of conduct that comply with securities law and go beyond the law to meet our own moral standards. Its policies and procedures relating to investment activities are below.
Conflicts of Interest
Pier LLC receives no economic benefit from any recommended securities brokers or dealers that provide our research and trading tools, record keeping, and billing services.
Doug Meeks, owner and principal advisor of Pier LLC, may buy and sell the same securities that he recommends and trades for clients.
Investment decisions made for the client will meet the goals stated in Pier Managed Account agreement.
Pier LLC does not own any securities, nor will it buy or sell securities for its own account in the future.
Pier LLC will not cross trades between principal, agency, or client accounts.
Pier LLC and Doug Meeks have a fiduciary duty to work in the best interest of all clients.
Pier LLC will not engage in insider trading, rumor mongering, or acceptance of significant gifts. Pier LLC complies with FINRA regulations for the reporting of gifts and business entertainment.
Pier LLC will remain a debt-free company, as debt can influence and restrict company activity.
Pier LLC will retain records of each trade order. Completed orders will be allocated as specified in the initial trade order, and partial orders will be allocated on a pro rata basis. Any exceptions will be explained on the order.