Lewis Rice LLC Privacy Notice for California Residents

Lewis Rice LLC Privacy Notice for California Residents

Effective Date: October 8, 2020

Last Reviewed on: October 8, 2020

This Privacy Notice for California Residents supplements the information contained in the Lewis Rice LLC (the “Firm” or “we” or “our”) Privacy Policy and applies solely to personal information of individuals who reside in the State of California (“consumers” or “you”). We adopt this notice to comply with the California Consumer Privacy Act of 2018 (CCPA) and any terms defined in the CCPA have the same meaning when used in this notice.

Information We Collect

The Firm collects information that identifies, relates to, describes, references, is reasonably capable of being associated with, or could reasonably be linked, directly or indirectly, with a particular consumer or device (“personal information”). In particular, the Firm has collected the following categories of personal information from its consumers within the last twelve (12) months:

A. Identifiers: a real name, alias, postal address, unique personal identifier, online identifier, Internet Protocol address, email address, account name, Social Security number, driver’s license number, passport number, or other similar identifiers

B. Personal information categories listed in the California Customer Records statute (Cal. Civ. Code § 1798.80(e)): a name, signature, Social Security number, physical characteristics or description, address, telephone number, passport number, driver’s license or state identification card number, insurance policy number, education, employment, employment history, bank account number, credit card number, debit card number, or any other financial information, medical information, or health insurance information

C. Protected classification characteristics under California or federal law: age (40 years or older), race, color, ancestry, national origin, citizenship, religion or creed, marital status, medical condition, physical or mental disability, sex (including gender, gender identity, gender expression, pregnancy or childbirth and related medical conditions), sexual orientation, veteran or military status, genetic information (including familial genetic information)

D. Commercial information: records of personal property, products or services purchased, obtained, or considered, or other purchasing or consuming histories or tendencies

E. Biometric information (not collected): genetic, physiological, behavioral, and biological characteristics, or activity patterns used to extract a template or other identifier or identifying information, such as, fingerprints, faceprints, and voiceprints, iris or retina scans, keystroke, gait, or other physical patterns, and sleep, health, or exercise data

F. Internet or other similar network activity: bowsing history, search history, information on a consumer’s interaction with a website, application, or advertisement

G. Geolocation data (not collected): physical location or movements

H. Sensory data: audio, electronic, visual, thermal, olfactory, or similar information

I. Professional or employment-related information: Current or past job history or performance evaluations

J. Non-public education information (per the Family Educational Rights and Privacy Act (20 U.S.C. Section 1232g, 34 C.F.R. Part 99)): education records directly related to a student maintained by an educational institution or party acting on its behalf, such as grades, transcripts, class lists, student schedules, student identification codes, student financial information, or student disciplinary records

K. Inferences drawn from other personal information (not collected): profile reflecting a person’s preferences, characteristics, psychological trends, predispositions, behavior, attitudes, intelligence, abilities, and aptitudes

Some personal information included in this category may overlap with other categories.

The Firm obtains the categories of personal information listed above from the following categories of sources:

  • Through our website (www.lewisrice.com) (our “Website”), including, without limitation, your requests for information or subscriptions to our newsletters through the functionality of the Website;
  • Through your application for employment with the Firm, whether written through written communication, email, our Website or our third party service provider(s);
  • In communications with our clients or potential clients, whether through written communication, email, text, telephone, or other electronic messages between an individual or his/her employer or business and the Firm; or
  • Our third party providers and other business partners (including, without limitation, our marketing consultants).

Use of Personal Information

We may use or disclose the personal information we collect for one or more of the following business purposes:

  • To fulfill or meet the reason you provided the information. For example, if you share your name and contact information to request a price quote or ask a question about our services, we will use that personal information to respond to your inquiry. If you provide your personal information to pay for our services, we will use that information to process your payment.
  • To counsel clients and provide legal representation.
  • To promote the Firm in its marketplaces.
  • To allow individuals access to files and computer systems that are provided as part of our services or in connection with our business development, marketing, and accounting activities.
  • To process, consider, and communicate about an application for employment with the Firm.
  • To carry out our obligations and enforce our rights arising from any contracts entered into between you and us, including for billing and collection purposes.
  • To prevent damage or harm to us, our services or any person or property, if we believe that disclosure is required by law (including to meet national security or law enforcement requirements), or in response to a lawful request by any public or governmental authority.
  • To notify you of any changes to our business, our Website or any of services.
  • To respond to law enforcement requests and as required by applicable law, court order, or governmental regulations.
  • In connection with, or during negotiations of, any merger, acquisition, spin-off, sale of company assets, subsidiary, any financing or any similar transaction.
  • As described to you when collecting your personal information or as otherwise set forth in the CCPA.

We will not collect additional categories of personal information or use the personal information we collected for additional purposes without providing you notice.

Sharing Personal Information

The Firm may disclose your personal information to a third party for a business purpose. When we disclose personal information for a business purpose, we enter a contract that describes the purpose and requires the recipient to both keep that personal information confidential and not use it for any purpose except performing the contract.

We share your personal information with the following categories of third parties:

  • Your agents, consultants, other advisers, counterparties, beneficiaries, trustees, banks and related persons, where you ask or permit us to, or as otherwise necessary to perform our services.
  • Contractors, service providers, and other third parties we use to support our business and who are bound by obligations to keep personal information confidential and use it only for the purposes for which we disclose it to them.
  • Courts/tribunals, law enforcement, and regulatory and public authorities in the course of our representation and where disclosure is required by applicable rules, law, or order. 

Disclosures of Personal Information for a Business Purpose

In the preceding twelve (12) months, Company has disclosed the following categories of personal information for a business purpose:

Category A: Identifiers.

Category B: California Customer Records personal information categories.

Category C: Protected classification characteristics under California or federal law.

Category D: Commercial information.

Category F: Internet or other similar network activity.

Category H: Sensory data.

Category I: Professional or employment-related information.

Category J: Non-public education information.

We disclose your personal information for a business purpose to the following categories of third parties:

  • Contractors, service providers, and other third parties we use to support our business operations.

No Personal Information Sales

We do not sell any personal information that we collect or use.

Your Rights and Choices

The CCPA provides consumers (California residents) with specific rights regarding their personal information. This section describes your CCPA rights and explains how to exercise those rights.

Access to Specific Information and Data Portability Rights

You have the right to request that we disclose the categories and specific pieces of information we have collected and certain information to you about our collection and use of your personal information over the past 12 months. Once we receive and confirm your verifiable consumer request (see Exercising Access, Data Portability, and Deletion Rights), we will disclose to you:

  • The categories of personal information we collected about you.
  • The categories of sources for the personal information we collected about you.
  • Our business or commercial purpose for collecting or selling that personal information.
  • The categories of third parties with whom we share that personal information.
  • The specific pieces of personal information we collected about you (also called a data portability request).
  • If we sold or disclosed your personal information for a business purpose, two separate lists disclosing:
    • sales, identifying the personal information categories that each category of recipient purchased; and
    • disclosures for a business purpose, identifying the personal information categories that each category of recipient obtained.

Deletion Request Rights

You have the right to request that we delete any of your personal information that we collected from you and retained, subject to certain exceptions. Once we receive and confirm your verifiable consumer request (see Exercising Access, Data Portability, and Deletion Rights), we will delete (and direct our service providers to delete) your personal information from our records, unless an exception applies.

We may deny your deletion request if retaining the information is necessary for us or our service provider(s) to:

  1. Complete the transaction for which we collected the personal information, fulfill the terms of a written warranty or product recall conducted in accordance with federal law, provide a good or service that you requested, take actions reasonably anticipated within the context of our ongoing business relationship with you, or otherwise perform our contract with you.
  2. Detect security incidents, protect against malicious, deceptive, fraudulent, or illegal activity, or prosecute those responsible for such activities.
  3. Debug products to identify and repair errors that impair existing intended functionality.
  4. Exercise free speech, ensure the right of another consumer to exercise their free speech rights, or exercise another right provided for by law.
  5. Comply with the California Electronic Communications Privacy Act (Cal. Penal Code § 1546 et. seq.).
  6. Engage in public or peer-reviewed scientific, historical, or statistical research in the public interest that adheres to all other applicable ethics and privacy laws, when the information’s deletion may likely render impossible or seriously impair the research’s achievement, if you previously provided informed consent.
  7. Enable solely internal uses that are reasonably aligned with consumer expectations based on your relationship with us.
  8. Comply with a legal obligation.
  9. Make other internal and lawful uses of that information that are compatible with the context in which you provided it.

Exercising Access, Data Portability, and Deletion Rights

To exercise the access, data portability, and deletion rights described above, please submit a verifiable consumer request to us by either:

  • Calling us at (314) 444-7600
  • Emailing [email protected]
  • Writing to us at 600 Washington Avenue, Suite 2500, St. Louis, MO 63101 Attn: Data Protection and Privacy Officer.

Only you, or a person legally authorized by you to act on your behalf, may make a verifiable consumer request related to your personal information. You may also make a verifiable consumer request on behalf of your minor child.

You may only make a verifiable consumer request for access or data portability twice within a 12-month period. The verifiable consumer request must:

  • Provide sufficient information that allows us to reasonably verify you are the person about whom we collected personal information or an authorized representative.
  • Describe your request with sufficient detail that allows us to properly understand, evaluate, and respond to it.

We cannot respond to your request or provide you with personal information if we cannot verify your identity or authority to make the request and confirm the personal information relates to you.

We will only use personal information provided in a verifiable consumer request to verify the requestor’s identity or authority to make the request.

Response Timing and Format

We endeavor to respond to a verifiable consumer request within forty-five (45) days of its receipt. If we require more time (up to 90 days), we will inform you of the reason and extension period in writing.

Any disclosures we provide will only cover the 12-month period preceding the verifiable consumer request’s receipt. The response we provide will also explain the reasons we cannot comply with a request, if applicable. For data portability requests, we will select a format to provide your personal information that is readily useable and should allow you to transmit the information from one entity to another entity without hindrance.

We do not charge a fee to process or respond to your verifiable consumer request unless it is excessive, repetitive, or manifestly unfounded. If we determine that the request warrants a fee, we will tell you why we made that decision and provide you with a cost estimate before completing your request.

Non-Discrimination

We will not discriminate against you for exercising any of your CCPA rights. Unless permitted by the CCPA, we will not:

  • Deny you goods or services.
  • Charge you different prices or rates for goods or services, including through granting discounts or other benefits, or imposing penalties.
  • Provide you a different level or quality of goods or services.
  • Suggest that you may receive a different price or rate for goods or services or a different level or quality of goods or services.

However, we may offer you certain financial incentives permitted by the CCPA that can result in different prices, rates, or quality levels. Any CCPA-permitted financial incentive we offer will reasonably relate to the value to us of your personal information and contain written terms that describe the program’s material aspects. Participation in a financial incentive program requires your prior opt in consent, which you may revoke at any time.

Other California Privacy Rights

California’s “Shine the Light” law (Civil Code Section § 1798.83) permits users of our Website that are California residents to request certain information regarding our disclosure of personal information to third parties for their direct marketing purposes. To make such a request, please send an email to [email protected] or write us at: 600 Washington Avenue, Suite 2500, St. Louis, MO 63101 Attn: Data Protection and Privacy Officer.

Changes to Our Privacy Notice

The Firm reserves the right to amend this privacy notice at our discretion and at any time. When we make changes to this privacy notice, we will post the updated notice on the Website and update the notice’s effective date. Your continued use of our Website following the posting of changes constitutes your acceptance of such changes.

Contact Information

If you have any questions or comments about this notice, the ways in which the Firm collects and uses your information described below and in the Privacy Policy, your choices and rights regarding such use, or wish to exercise your rights under California law, please do not hesitate to contact us at:

Phone: (314) 444-7600

Email: [email protected]

Postal Address: 600 Washington Avenue, Suite 2500, St. Louis, MO 63101 Attn: Data Protection and Privacy Officer.

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