HOW DO I PARTICIPATE IN THE SETTLEMENT? WHAT DO I NEED TO DO?

To be eligible for a payment from the proceeds of the Settlement, you must be a member of the Settlement Class and you must timely complete and return the Claim and Release Form with adequate supporting documentation to the Claims Administrator postmarked no later than February 7, 2020. A Claim and Release Form is available on the Important Documents page of this website, or you may request that a Claim and Release Form be mailed to you by calling the Claims Administrator toll free at 1-866-274-4004. Please retain all records of your ownership of and transactions in Rockwell Securities, as they may be needed to document your Claim. If you request exclusion from the Settlement Class or do not submit a timely and valid Claim and Release Form, you will not be eligible to share in the Net Settlement Fund.

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