Such communications will include but not necessarily be limited to confirmations of transactions, account statements, tax
documents, financial statements and reports of portfolio holdings, reorganization notices, proxy materials, notices of modifications to this Agreement, the Account Agreement, and Capital One Investing's Privacy Policy, as well Margin Account Agreement as annual and semiannual audited and
unaudited reports for Capital One Investing and other basic communications.
On May 21, 2013, Perell J. certified a proposed class action against certain defendants in Zaniewicz v. Zungui Haixi Corp. based on misrepresentations in Zungui's IPO offering
documents and other disclosure
documents, including its audited and
unaudited financial statements (2013 ONSC 2959).