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Saturday, 10/14/2006 12:13:26 PM

Saturday, October 14, 2006 12:13:26 PM

Post# of 27672
Important info on Brokerage Firms and T/A

I would highly suggest that all here call their Brokerage Firms and speak with your Compliance Examiner.
Ask and demand from your Brokerage Firm compliance dept all information on your accounts that they sent to the transfer Agent Mr Jack Donelly .All Documents!
Do not take no for an answer you have the right to receive this information on your accounts from your brokerage Firm.

Do not listen to the excuse that you may here from your Compliance Examiner saying to you (you can see everything we sent to the T/A by looking at your account it is all there.)

You want to see and have physical possession of all the Documents sent about your account to the T/A.
.
You may have to request this information in writeing which is what I had to do. I hand deliverd a letter to the branch manager at my local branch office and I got a copy of the letter for my records.

After this I sent an E-Mail to the Brokerage Firm I use stating exactly what I just did and reiterated the information I wanted mailed to me.
I mentioned names of all the parties I talked to.
By doing an E-Mail to your Brokerage Firm it insures that they receive your requests. You protect yourself so the Brokerage Firm can not come back on you and state they never received any such request from you.

Next call the T/A and speak to Mr Donelly. Ask Mr Donelly if he could send you a Fax about the information he has requested from the Brokerage Firm that you are using.

I did just that and Mr Donelly sent me a Fax on what he requested from my Brokerage Firm I use which is Scottrade.. Mr Donelly verified that I was a clinent of that Brokerage Firm before he sent me the Fax.

I will not post the contents of the Fax on this message board. It is up to you to call the T/A and get a copy for yourself.

I can state this after reading the information I received from the T/A I sent a SEC Complaint against the brokerage Firm I use.

I have been asking my Brokerage Firm questions for months with e-mails, phone calls and talking face to face with the branch manager with no results. What are they trying to hide?
Now I know the answer.





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