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Southwest Securities, Inc. Corporate Governance & Disclosures

SWS Financial Services, Inc.
Anonymous Reporting Hotline

Report It

Have you noticed an issue of workplace misconduct such as theft, fraud, dishonesty, harassment, unethical behavior or improper accounting practices? Then we urge you to report it.

You are never required to provide any personal identifying information to access the system online or by telephone - it is all done by access code. The hotline and the Website link are completely confidential, and are administered by an independent third-party to ensure full anonymity for anyone who uses them. The toll-free hotline number, and the link to file a report online are both available 24 hours a day, 365 days a year.

Call the hotline number 877-778-5463, give your username (swsgroup), and password (swsgroup), and the operator with the reporting service will help you submit your report. The operator then files the report and sends it to the company for you so that you may maintain complete anonymity. You will never have to speak to anyone affiliated with SWS Group, and no one at the company will ever contact you, it will all be done through the reporting service.

You may also file a report from any computer with online access. Go to www.reportit.net and click on the Report it Online button, enter your username (swsgroup), and password (swsgroup). Simply type in your answers to the given questions to submit your anonymous report. Try to be as clear and complete as possible so that your concerns may be properly and thoroughly investigated.

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SWS Financial Services, Inc. is a member of FINRA and SIPC and is a Registered Investment Advisor.