IMPORTANT LEGAL NOTICE

Legal Disclaimers & Risk Warnings

Please read these important disclaimers carefully before using AlphaAI StockX. Trading involves substantial risk and is not suitable for all investors.

⚠️ HIGH RISK INVESTMENT WARNING

Trading securities involves substantial risk of loss and is not suitable for all investors.

You could lose your entire investment. Past performance does not guarantee future results. All investment strategies carry risk. Before trading, carefully consider your financial situation, investment objectives, and risk tolerance.

Performance Claims Disclaimer

Backtested & Simulated Results

All performance metrics, accuracy rates, win rates, and return statistics displayed on this platform represent BACKTESTED, SIMULATED, or PAPER TRADING RESULTS, not actual trading with real money. These results are hypothetical and do not represent actual trading.

Specific Performance Claims:

"94.7% accuracy" - Backtested simulation result from January 2024 to October 2025 using historical market data. Actual live trading results may vary significantly.
"$2.4B+ AUM" - Represents theoretical platform capacity based on infrastructure capabilities, not actual assets under management.
"50,000+ traders" - Represents total registered user accounts, not verified active traders with funded accounts.
"342% average return" - Simulated backtest result. Past performance does not guarantee future results.

Limitations of Backtested Results

Backtested performance results have inherent limitations:

Results are based on historical data and do not account for future market conditions
Simulations cannot fully account for market liquidity, slippage, and execution delays
Backtests may suffer from survivorship bias and look-ahead bias
Transaction costs, fees, and taxes may not be fully represented
Market conditions and volatility in backtests may not reflect future markets
Actual trading results will likely differ from simulated results

Regulatory Compliance Status

Broker-Dealer Services

AlphaAI StockX is a technology platform and is NOT a registered broker-dealer or investment advisor. All brokerage services, order execution, and custody of funds are provided by:

Our Brokerage Partner:

Alpaca Securities LLC

FINRA Member (CRD #288202)
SIPC Member (protects up to $500,000 including $250,000 cash)
Registered Broker-Dealer
Verification: FINRA BrokerCheck

Security & Compliance Certifications

⏳
SOC 2 Type II: Audit in progress. Expected completion Q1 2026. We implement SOC 2 controls but certification is pending.
⏳
ISO 27001: Information security management system implementation in progress. Certification pending.
✓
Security Practices: AES-256 encryption, 2FA required, continuous monitoring, daily backups, and regular security audits are actively implemented.

Investment Risks

Key Risks of Trading:

Market Risk: Securities prices fluctuate due to economic conditions, company performance, and investor sentiment. You may lose your entire investment.
Volatility Risk: Rapid price changes can result in significant losses, especially with leveraged positions or options.
Liquidity Risk: You may not be able to buy or sell securities quickly at desired prices during volatile markets.
Technology Risk: System failures, internet outages, or software bugs may prevent you from executing trades or accessing your account.
AI/Algorithm Risk: AI trading signals are based on historical patterns and may not accurately predict future market movements. Algorithms can fail or underperform.
Leverage Risk: Using margin or leveraged products amplifies both gains and losses. You may lose more than your initial investment.

No Investment Advice

AlphaAI StockX provides information and tools only. We do not provide investment advice, recommendations, or make any representations about the suitability of any security or trading strategy for your specific situation.

AI-generated signals, analytics, and insights are for informational purposes only and should not be construed as investment advice. You are solely responsible for evaluating the merits and risks of any investment decision.

We strongly recommend consulting with a qualified financial advisor before making any investment decisions. Consider your financial situation, investment objectives, and risk tolerance.

Data Sources & Accuracy

Market data, news, and analytics are provided by third-party sources and data providers. While we strive for accuracy, we cannot guarantee the completeness, accuracy, or timeliness of any information displayed on the platform.

Data Integrations:

Market data provided by third-party exchanges and data providers. Trademarks are property of respective owners. Display of logos or names does not imply endorsement or partnership unless explicitly stated.
Real-time quotes may be delayed up to 15 minutes depending on your subscription level and data provider.
AI models are trained on historical data and may not reflect current market conditions or future events.

Performance Methodology

How We Calculate Metrics

Accuracy/Win Rate:

Calculated as (winning trades / total trades) × 100 over the specified time period in backtests. A "winning trade" is defined as any trade with positive P&L after commissions and estimated slippage.

Returns:

Calculated as ((ending portfolio value - starting portfolio value) / starting portfolio value) × 100. Includes estimated commissions ($0.005/share) and slippage (0.1% per trade). Does not include taxes, which vary by individual situation.

Backtest Assumptions:

Starting capital: $100,000 (unless otherwise specified)
Commission: $0.005 per share
Slippage: 0.1% per trade (market orders)
Market hours: 9:30 AM - 4:00 PM ET
No margin or leverage (unless explicitly stated)
Perfect order fills (may not reflect actual market conditions)

Last Updated: October 24, 2025
For questions about these disclaimers, contact: legal@alphaaistockx.com

By using AlphaAI StockX, you acknowledge that you have read, understood, and agree to these disclaimers and risk warnings.

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