Well, in this case, Pamela Thompson was fruadulently acting as "the transfer agent" as she and Pino were the ones who created the counterfeit certificates in the first place.
Thompson is not, nor ever has been registered with the SEC as a transfer agent. Never filed one of these..
Here are the three forms Transfer agents are required to file.
TA-1 Uniform form for registration as a transfer agent and for amendment to registration SEC1528 12/2006 http://www.sec.gov/about/forms/formta-1.pdf --------------------------------------------------------------------------------
TA-2 Form for reporting activities of transfer agents SEC2113 12/2006 http://www.sec.gov/about/forms/formta-2.pdf --------------------------------------------------------------------------------
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