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EXHIBIT D
Distribution on April 5, 2018
Class 10b. 10,330.4 M
MMs pass from left hand to right hand most likely. IMHO
I checked my holdings, those were not my shares.
Thank you for your patient, if the rip-off also happened to other investors here, then we can bring a class action. Yes indeed I have no experience for this incident, in the beginning, I do need someone’s help.
And I think this society is full of righteousness and justice.
If the day coming so soon as Cotton and most of us expected, you will be sorry for setting the ask price at $1.00, even 25$
I am under difficult situation to do so, I don’t want this rip-off happened to me twice. I have to set GTC selling orders. And took screen-photos for my own records
this unauthorized trading can be happen to anyone.
Sounds like you blame me not those guys committing security fraud, kicking me out without giving me a reason that unfair treatment is called discrimination I believe.
You don’t want me to tell this true story here, why?
So sorry, if I hurt your feelings.
Only 1000 shares at $25. Ok, I change it to 40$
I still couldn’t figure it out, why he asked me to remove my three GTC ask orders at $25, $35, $35 and he still persuaded me to transfer out my holdings. Definitely he saw my three selling orders.
On the day someone sold my LEHKQ, I did not have any selling order of LEHKQ, I did right way on the day I saw the email notice which I had sell confirmation from them.
There must be a reason, no big public company will do this, risking company’s reputation and liable for such serious behavior.
No stupid company will rob 41000 shares (2500$) value stocks from their customers. Especially, if it’s a worthless BK company.
Please see my previous message. I did not, do not, and will not have a margin account.
I have non-margin account only. I always check the available cash before I trade, especially, non-margin account won’t let you spend more as you have not enough cash in your account.
Does any one here have DTC chill status for Lehman CT, if you have brokerage account other than TD. ?
Thank for your information.
I thought too, I paid around that figure years ago.
As I download the form, the price $500 is printed on the form. So, I believe this is the correct price now,
The only thing at my age I have to in Charge is my healthy quality life.
I transferred some stocks to Charles Schwab already, I don’t
have too many stocks requiring two or more brokers, thanks however.
I contacted Fidelity and Charles Schwab. They won’t take OTC stocks, especially I still have escrow stocks , no one will take those either.
If CT get new replaced shares, any brokerage firm will take my certificates. IMHO
Do I have better options, we have bet on this for 8- 9 years?
If you were me what you can do?
What can investors do?
Prior to investing in a security, investors can ask their broker-dealer if there are or ever have been any DTC restrictions placed on any security they are considering buying or selling. This information may affect your decision to purchase or sell the security. The broker-dealer or the broker-dealer’s compliance department should be able to address the inquiry by checking with its back office or by calling its account manager at DTC. Given that DTC does not always disclose the reason for a chill or freeze, a broker-dealer may not be able to provide its customer with information as to why the freeze was imposed or if or when it will be lifted. Investors should also thoroughly research the company and its transfer agent prior to investing in the security.
I tell you guys my guess is something to do with my CT and your CT stocks.
Those who heavily shorted the CTs during BK filing are looking for shares.
Did TD mm short the stocks ? Who knows. That’s why CTs are under DTC chills if it’s really ordered by DTC. IMHO
Actually, that manager couldn’t tell me the reason either. I told him TD can’t punish me without letting me know the mistake or wrongdoing you accused me.
That is discrimination, you tried to kick me out of your company and no reason will be given.
I did talk and emailed from message board more than 20times , no one could answer. Finally, the guy, Richard, I posted his message yesterday, he give me a instruction last night ask me to talk to a Manager Escalation. who reviewed my case then called me back again, he still tried to persuade me to transfer out to other brokerage, I knew the risk, there is no other brokerage will take OTC stocks, during the transfer, TD may liquidate my holdings. The most safe way is get certificates. I also asked him whether I can transfer escrow stocks out, then he said no.
Looks like there are some tricky traps in front of me.
I asked the manager to confirm the talk by writing an email we agree to let me stay, they won’t sell my holdings and I will not buy any Stock in TD, up to now, I haven’t received his promise. The manager is in TX.
On the headline, I request LHHMQ and LEHLQ,
Inside the body, they were talking about LEHKQ and LEHNQ.
If it was under chill then, how did TD sell my LEHKQ?
They tried to drive me crazy.
Re: Order certificate for LHHMQ, LEHLQ|Back to INBOX
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From: Message Center Client Services|Date: 02/21/18 11:29 AMMessage available until 02/21/20.
Mr. Xxx
Thank you for your follow up.
We will attempt to get stock certificates for LEHKQ and LEHNQ, however, both securities have chills in place and there is no timeframe for when those chills will be lifted. This means there is no guarantee we will be able to get the certificates.
Since you previously agreed to the two $500.00 fees back in December, I have submitted these requests to our processors.
Please reply to this e-mail or call a Safekeeping/Restricted Stock Specialist at 888-723-8504, Option 7, weekdays, excluding market holidays, between 9:00 AM and 5:30 PM Eastern if you have questions or needs concerning this or other safekeeping/restricted stock issues.
Thank you for choosing TD Ameritrade.
Lehkq was released, that was why someone could sold my shares without my permission.
Maybe never had one.
I got email states that LHHMQ and LEHLQ are under chills today, so my certificates request are pending.
I will copy and paste the message later.
This is really getting crazy.
Wow, I hope TD did not make story to not let me order my certificates.
I have lots to learn here as well, I never expect to reach that deep.
“DTC may at times place temporary or permanent restrictions on certain transactions, such as deposits or withdrawals of certificates. Such a restriction is known as a chill. For example, DTC may impose a temporary chill that restricts book-entry movement of securities, effectively closing the books and stabilizing existing positions until a merger or other reorganization has been completed.
Chills are also placed when, among other things, regulators take certain actions, or when there are questions about an issuer’s compliance with applicable law.”
Merge or reorganization? Or issue replaced new stocks?
I called yesterday the guy told me my order was approved on Dec 7, 17. I made an written inquiry yesterday checking the status. Now, 20 mins ago, another guy said those two are under chills. We have to wait till the chills cleared.
I don’t know what’s going on there. If they are worthless why bother to set a chill. So many BK stocks were heavily shorted, then disappeared totally. I don’t see any reason DTC wants to set a chill.
What is the purpose and function for chill? Counting the total and shorted shares on market? Make sure all brokerage firms cover all shorted shares and very the ownership of the shares? Tia
I agree with you I will touch no more OTC stocks. Lehman is the last one.
If I still have chance to keep my Lehman and win the lottery, I will buy some FB, google, amazon. Good night and good luck to all.
I have only TD at the time TD set “restriction to buy” to my account. Then latter, I knew TD wanted to terminate relationship with me without letting me know the reason.
The only reason I could figure out is forcing me to make sell of my Lehman CT stocks. I could not transfer those OTC stocks to other brokerage firms or even private CFP couldn’t help me out.
If there are other same situation like me, I may talk to an attorney for possible class action.
That button link is something to do with employees “Restriction Stock Unit, RSU which has nothing to do with us. Nothing to do with my dispute. iMHO
They keep mentioned the letter TD mailed me on August 10, 2017. Up to date, with many calls, no one could tell me what was the issues in the letter.
I told them that if I had made some serious mistake or fraud, it won’t change my image or the thing I did for telling me the reason twice. Looks like I have to file complaint to Attorney General first. They did not respond to those unauthorized trade Lehkq stocks.
I have been waiting to the final payouts for 8-9 years.
I got an email from compliance Dept today.
They said TD sent a letter informed me in August 2017 tried to terminate our relationship and asked me to transfer or liquidate my holdings.
I and my wife received TD letters monthly. We did not pay attention for those statements cause we do not trade often.
I didn’t know the reason and requested them many times without giving any reason.
Did any one got same notification letter for holding too much percent of OTC stocks?
I did, and deposit enough money for 4 certificates. Up to date, I haven’t received. I made a written inquiry today again.
This is from Richard, I do believe he was told from higher management level.
“
My Reorganization department said it appears to have been initiated by the courts.
_____
We receive the request from the transfer agents, but we are not always fully informed what is going on. I wish we were, however! That would sure make it easier on us when clients request this information.
Here is the SEC search page that brings up everything that they have about Lehman Brothers:
https://secsearch.sec.gov/search?affiliate=secsearch&query=Lehman+Brothers
Additionally, I did find this FindLaw page about a January 2018 court decision:
http://caselaw.findlaw.com/us-2nd-circuit/1887021.html
That is next step I will follow, in the mean time I just get more affirmations from you guys.
Thanks for your help.
Court order should be public record. Did anyone see this court order which should be applied to all of us?
I have to wait little bit longer see anyone here agrees with TD’s explanation. Thank you for your comments.
“Thank you for writing! My name is Richard Vermillion and it is my pleasure to help you today.
Those sales were not actual market orders, but rather the result of the corporate action (liquidation) of the Lehman Bros. Holdings due to their bankruptcy. Therefore, there was no choice in the matter for you or TD Ameritrade. My Reorganization department said it appears to have been initiated by the courts. So, for 2018, this event will provide you a <-$4,398.74> long-term capital loss to offset any long-term gains you might have this year.”
Did anyone had same situation the Lehman CT stocks were liquidated by BK court? TIA
One of DTC directors., Mr. David R. Kimm
There were DTC chills for Lehman CTs in TD, I don’t know wether it also happened in other brokerage firms.
Mr. Kimm is Executive Vice President
Chief Risk Officer and Treasurer of TD Ameritrade Holding Corp.
My calls were transferred few times to Risk Management Dept talking to an answering machine as well.
What does it mean? For sure it has something to do with CTs? Tia
Yes, after they sold some of my pink stocks on the same day without my permission as well.
Now I have more than 5000$ in my account.
For an individual, legal expenses will be huge.
But there is a way to trace those my stolen shares. Who got my shares? And there is a reason to do so.
I have non-margin account from the day one I open the account, and I never borrow money from them. On the date they sold my LEHKQ shares, I had more than 2000$ cash which I planed to buy four CT certificates. I placed orders for four certificates, however, due to DTC chill, my orders were pending.
They did not send me certificates instead, they sold partial of my LEHKQ.