STA Vendor Members In Good Standing
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ACS Unclaimed Property Clearinghouse, Inc.
www.acs-inc.com
George M. Moje
617-722-9666
george.moje@acs-inc.com
The ACS Voluntary Compliance Program has been designed exclusively to assist those companies that have not fulfilled the unclaimed property reporting requirements of the states at no cost.More than 50 reporting jurisdictions, including the District of Columbia and Puerto Rico, have granted the Clearinghouse authority to act as the agent, resulting in a multi-state cooperative effort to simplify the reporting and collection of unclaimed property of all types.Upon request, virtually all participating states will enter into a written agreement releasing a company from interest and penalties for the untimely reporting of property.Please call for a copy of the Voluntary Compliance Manual or visit our website and download a copy: www.ascupch.com
The Altman Group
www.altmangroup.com
Charlotte Brown
201-806-2205
cbrown@altmangroup.com
Broadridge Financial Solutions, Inc.
Chip Pasfield
631-254-7533
charles.pasfield@broadridge.com
The Colbent Corporation
Donald Beardsley
1-877-COLBENT
dbeardsley@colbent.com
A premier provider of services to Transfer Agents, Corporate Issuers, Mutual Fund Transfer Agents, Investment Companies, and Insurance Companies. Combining sophisticated technology and dedicated staff, Colbent provides superior processing services to manyclients with varied Financial Services Industry needs. Corporate Actions including: Mandatory Mergers and Cash Payments, Tender Offers, Rights Offerings, Voluntary Reorganizations: Dutch auctions, Cash - Stock Elections, Debt Re-structuring; Proxytabulation; SEC Settlement Processing - Restitutions/Distributions; Class Action Settlement Processing. For more information about The Colbent Corporation please contact Donald Beardsley at: dbeardsley@colbent.com or call 1-877-COLBENT
D. F. King & Co., Inc.
Gordon Stevenson
212-493-6973
gstevenson@dfking.com
For over 60 years, D.F. King & Co., Inc. has been a premier investor communications firm offering proxy solicitation, Information Agent services, corporate advisory and strategic advice in connection with mergers and acquisitions and corporate governancegovernance consulting services to corporations and mutual funds.
King leverages this expertise to offer a wide array of Expense Management Programs, including Merger Resolution and Small Shareholder Buyback Services. King's Expense Management Programsoffer corporate issuers the opportunity to reduce expenses while providing convenient value added services to their shareholders.
For more information concerning all of D.F. King's service offerings, please contact Gordon Stevenson at (212) 493-6973or at gstevenson@dfking.com
Custody, Clearance & Settlement
The Depository Trust & Clearing Corporation
www.dtcc.org
Joseph J. Trezza
212-855-4400
jtrezza@dtcc.com
The Depository Trust & Clearing Corporation (DTCC) through its subsidiaries, provides clearance, settlement and information services for equities, corporate and municipal bonds, government and mortgage-backed securitiesand over-the-counter credit derivatives trades. DTCC's depository also provides custody and asset servicing for more than two million securities from the United States and 100 other countries and territories, and is the leading processor of mutual fundsand insurance transactions.
DST Systems, Inc.
Phil Cansler
816-936-2847
pkcansler@dstsystems.com
Ellen Philip Associates, Inc.
http://www.ellenphilip.com
Ellen Philip
212-807-0477
ephilip@ellenphilip.com
EquiSearch Services, Inc.
www.equisearch.net
Carl Glaeser
914-287-5080
carl.glaeser@equisearch.net
EquiSearch is a compliance-focused firm that assists transfer agents, mutual funds and other financial organizations to locate lost shareholders, confirm new addresses and reactivate dormant accounts. Our expertise in locating lost shareholders continues to not only reduce the financial burdens associated with the fulfillment of SEC compliance searches for our clients, but also reduces the escheatment of assets. Let EquiSearch improve the accuracy of your organization’s shareholder database and reunite lost shareholders with unclaimed property.
E-Surety Brokerage, Inc.
www.e-surety.com
Christopher J. Fink
305-792-7295
chrisfink@e-surety.com
Group Five, Inc.
www.groupfiveinc.com
Jack Sunday
609-924-1538
jacksunday@groupfiveinc.com
Document Security
Hampton Technologies LLC
www.hamptonsecurity.com
Ronald Gallagher
631-924-1335 x211
rgallagher@hamptontech.net
Exclusive provider of all S.T.A.M.P. 2000 Medallion Stamps and Transfer Agent Authentication Equipment. Provider of security solutions including document authentication, counterfeit currancy detectors, security inks and laser toners,biometic security equipment and fingerprint access controls.
Hodgson Russ LLP
www.hodgsonruss.com
Mark Harmon
212-751-4300
mharmon@hodgsonruss.com
Janney Montgomery Scott LLC
Catharine Matchett
215-665-6323
cmatchett@jmsonline.com
Keane Organization, Inc.
www.keaneco.com
David McCrystal
800-848-8896, ext. 3257
dmccrystal@keaneco.com
The Keane Organization provides a suite of compliance and risk management solutions to the world’s largest corporations, mutual funds, and financial institutions.Keane’s services include: investor communication & retention, business risk management solutions, unclaimed property reporting services, and qualified retirement plansolutions. We help our partners meet the challenges of today’s regulatory environment in a way that builds economic value and strengthens relationships with customers,investors and employees. Our “Beyond Compliance” approach focuses on exceeding client expectations and delivering clear, measurable results. To learn more, visit us atour web site: www.keaneco.com.
Kelley Drye & Warren LLP
www.kelleydrye.com
Merrill B. Stone
212-808-7543
mstone@kelleydrye.com
Medallion Signature Guarantee Program Administration
Kemark Financial Services, Inc.
www.kemarkfinancial.com
Tom DiMarino
845-620-9300
tdimarino@kemark.com
Kemark Financial Services, Inc. is the program administrator for The Securities Transfer Agents Medallion Program (STAMP) and the Stock Exchanges Medallion Program (SEMP). These signature guarantee programs are recognized by all major financial servicesassociations and are endorsed by The Securities Transfer Association.
Logan Law Firm PLC
www.rule144letters.com
Ronald J. Logan
602-957-9320
logan@rule144letters.com
Schiff Hardin LLP
www.schiffhardin.com
Laura S. Pruitt
202-363-7065
lpruitt@schiffhardin.com
Scotti Financial Data Services
Richard M. Scotti
212-691-6644
production@scottigraphics.com
Data Depository
Securities Information Center
www.secic.com
Patrick Lacey
617-856-1779
patrick.lacey@thomson.com
The Securities Information Center (SIC) manages the Lost & Stolen Program (LSP) on behalf of the SEC. The LSP was created to remove lost, stolen, missing or counterfeit physical securities from circulation.SIC is also used as a clearing house for all categories of certificates that disrupt the settlement process.
SMS Group LLC
Nicholas Nichols
212-764-6800
nick.nichols@smsgroupllc.com
St. Paul Travelers
James A. McMillan
860-277-2233
james_a_mcmillan@travelers.com
SunGard
www.sungard.com
Stephen J. Smith
610-975-3009
stephen.smith@sungard.com
SwingVote, LLC
www.swingvote.com
Carolina Menezes
404-812-0700
cmenezes@swingvote.com
Thomas Weisel Partners LLC
www.tweisel.com
Alfred A. Higuera
415-364-2723
ahiguera@tweisel.com
Escheatment, Owner Location
Unclaimed Property Recovery & Reporting, Inc.
www.uprrinc.
Robert Irvine ("Bob")
212-971-3333, ext. 12
bob.irvine@acs-inc.com
A Unit of Affiliated Computer Serices (ACS). Unclaimed Property Recovery & Reporting provides unclaimed property compliance and pre-escheatment services to corporations, corporate trustees, and transfer agents. With over 100 years of experience, includingextensive transfer agent operations work, UPRR's staff can accurately assess your company's compliance status. UPRR's services include an owner location progam meeting state and SEC requirements, audit support, claims assistance, property recovery andreporting. For more information, visit UPRR at www.uprrinc.com
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