Class Action Participation Election Form

Disclosures

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Class Action Participation Election Form

Class Action Service Participation Election Form

Account Owner First & Last Name:

Business or Trust Name: applicable

Account Number(s):

Global Class Actions Asset Recovery Program

The Firm has launched its Global Class Actions Asset Recovery Program. This Service automatically processes all proof of claim forms when a security was/is held at the Firm and is eligible for participation in a class action lawsuit. This change is being made in accordance with applicable regulatory guidance and is intended to enhance the services the Firm currently provides. Clients should direct any inquiries regarding Class Actions to their Financial Advisor.

Negative Consent Disclosure

Unless a participant chooses to opt-out of the Class Actions Service, all eligible Firm accounts will be automatically enrolled in the Class Action Service on or after January 1st, 2026. If the Firm does not receive written objection, the Firm will assume consent to the program and proceed accordingly. Participation is not required to do any other business with the Firm.

If you do not wish to participate, please submit the Class Action Service Negative Consent Opt-Out Election on the Firm’s website or mail a signed letter to the following address: HilltopSecurities, Attn: New Account, 717 N. Harwood St., Suite 3400, Dallas, Texas 75201. Please include all relevant account numbers within the request to unenroll from this service with a subject line of Class Action Service.

For joint accounts, only one participant request is required. For entity, trust, and other registration types, only one authorized party request is required, unless subject to agreement restrictions.

Opt-Out Election

I do NOT consent to participate in the proposed program described above. Please provide me with the Class Action information manually.

Opt-In Election

If the account owner(s) previously selected the Opt-Out Election and now wishes to participate in this service, please complete the below Class Action Service Opt-In Election on the Firm’s website or mail a signed letter to the following address: HilltopSecurities, Attn: New Account, 717 N. Harwood St., Suite 3400, Dallas, Texas 75201.

I DO consent to participate in the Global Class Actions Asset Recovery Program. I understand that the Firm will automatically process all eligible proof of claim forms on my behalf for securities held at the Firm that are subject to class action lawsuits.

Owner/Authorized
Agent Signature:

Owner/Authorized
Agent Printed Name:

Date:

This Service Program does not constitute legal advice or legal representation. Participation in this service may affect an account holder’s ability to pursue individual action. Account holders are encouraged to consult with legal counsel with questions regarding any claim rights or class action options. The Firm accepts no liability or responsibility for any actions or inaccuracies occurring as a result of this Program. HilltopSecurities is a registered broker dealer and registered investment advisor that does not provide legal or tax advice. HilltopSecurities is a wholly owned subsidiary of Hilltop Holdings Inc. (NYSE: HTH) and is located at 717 N. Harwood St., Suite 3400, Dallas, Texas 75201, 833-4HILLTOP. Member: NYSE/FINRA/SIPC.

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