Wednesday, January 03, 2007 12:40:53 PM
To:
James Conmy
(Clearance & Settlement - Fixed Income)
Phone: (212) 855-5477
E-mail: jconmy@dtcc.com
Dear Mr. Conmy:
I found your email address on the DTCC website and I assume you are responsible for settlements and clearance issues there.
I am an investor in Equitable Mining (EQBM) which recently spun off a dividend and warrants in a company called SOMA Petroleum, SOMPF.
I have been advised by my online broker that their firm still has not received the physical certificates for my dividends and warrants from your company and that is why they cannot mail out the certificates to me. As this stock only trades in Frankfurt it is critical that I get the physical certificates in order to transfer them to another firm which can trade in Frankfurt.
I have contacted the Transfer Agent and they stated that they sent the SOMA certificates to your company weeks ago.
I am growing increasingly concerned as time goes by without the ability to obtain my certificates because apparently your company has not issued them to my broker.
I do not wish to register any formal complaints with the SEC and the NASD, however, if you cannot provide a definite time that the certificates will be issued out of the DTCC to my broker I will have no choice but to seek assistance from the regulatory agencies.
Please respond to this request at your earliest convenience.
Thank you.
Making money from the mortgage meltdown, want to know what's hot? SUBRIME LENDERS BOARD
http://investorshub.advfn.com/boards/board.asp?board_id=10112
My opinions are not investment advice. Form your own conclusions, do not rely on mine.
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