American Stock Transfer & Trust Company, LLC

Dear [redacted], Thank you for contacting our Shareholder Services Department at American Stock Transfer & Trust Company, LLC. We have received the complaint you submitted to the Revdex.com for a response.Our records do not indicate that we have received the...

documents you submitted to have the certificates replaced. Attempts to contact you at the number provided (###-###-####) have been unsuccessful. In response to the email you sent on July **, 2015 stating that the documents have been submitted a second time, please verify it has been sent to our address [redacted], [redacted] to the attention of the Transfer Department. Upon receipt of the required documents your request will be expedited once all requirements have been satisfied. Should you require additional information please contact me directly at ###-###-#### or [redacted].  Sincerely,     Kelon J[redacted] Shareholder ServicesAmerican Stock Transfer & Trust Company, LLC

Dear [redacted],Please allow an extension until April **, 2016 for this response as we are still conducting research.Regards,Kelon J[redacted]

Revdex.com:
I have reviewed the response made by the business in reference to complaint ID# [redacted], and have determined that my complaint...

has NOT been resolved because:

Ameritrade clearly had our change of address and did not change it as I have received nothing from them.  They told me it was changed a month after they forfeited our stock.  Paperwork for our 4 children should be completed and their stock shares reinstated immediately!  I was told that this was possible, but company is dragging feet and passing this around.  Ameritrade is clearly at fault here  for not notifying me and not changing the address they clearly had in a timely fashion.
 
 
 
 
In order for the Revdex.com to appropriately process your response, you MUST answer the question above.
Sincerely,
[redacted]

Dear [redacted], We have received the complaints that you submitted to Revdex.com for a resolution. After reviewing your account it was determined that you communicated with our firm before and after your initial complaint in September. Below is a description of the communication with our firm.1. On August **, 2014 you called our customer service department and was advised that your new account was in fact established we validated the number of shares in your account and you expressed that the incorrect address was on file. A research request was placed to validate the documents we received. 2. On August **, 2014 an associate called you back and advised we updated your address and we mailed a new account balance statement to your address on record.3. On September **, 2014 you called our customer service department regarding dividend reinvestment issue, and where advised that you needed to send a letter to discontinue dividend reinvestment. 4. On October *, 2014 we received your written request and discontinued dividend reinvestment. Finally on October **, 2014 we emailed another account statement to you.Based on your experiences, non receipt of the statements and complaint to the Revdex.com Link Shareholder Services waived the service fee you incurred back in August and sent you a refund for $62.05  on October **, 2014. You cashed this check on November *, 2014. On November *, 2014 ALL of your shares were transferred to your stock broker and your account with AST is closed.  After reviewing your communications it appears that you were advised that the account was in fact established after your communication with LSS in August; however the issue at hand is that you were unaware the shares were held electronically in book entry position. If it was your intent to receive a stock certificate we would have been happy to provide if you requested such. We sincerely apologize that this was not made clear with the various communications you had with our firm, and we will remediate our process where necessary.  To that end, if you require additional information, please feel free to contact us [redacted]

Dear [redacted]:We have received the complaint that you submitted to the Revdex.com for a response. A review of our records reflects that on August **, 2015 at 9:15 a.m. eastern standard time, AmericanStock Transfer & Trust Company, LLC (“AST”) received your sale request...

via our Interactive Voice Response System (IVR). On the same date, the shares were debited from your outstanding balance and held in a pending status for liquidation.  If you wanted to speak with a live representative at any point during this transaction, selecting option 1 (one) then option 0 (zero) was available.Coincidently, AST received notification from Pepco Holdings Inc. on August **, 2015, to notify the Depository Trust Company (DTC) of the effectiveness of the merger.  American Stock Transfer & Trust Company,LLC (“AST”) notified the Depository Trust Company (DTC) of the effectiveness of the merger on August **, 2015 at 9 A.M. This prompted DTC to place a “chill” or “global lock” on the security immediately upon notification. As a result of the chill we were unable to initiate any pending or new trades for the company for this date. Unfortunately, the District of Columbia declined the terms of the merger, and the chill status was removed from the security. Since AST was unable to successfully process any sales submitted from August **-[redacted], a new sale request, or verification to process the initial request must be initiated by the shareholder. In an effort to resolve this matter AST communicated with all shareholders who had a telephone number recorded on their account. Since your request was entered via our IVR, we were unable to reach you telephonically to initiate a new trade request. When you communicated with our Shareholder Services Department on September *, 2015, you were advised that the sale was not honored on the date you requested; however, we immediately sold the shares on September *, 2015, as outlined in the turnaround time reflected in the company’s plan prospectus.In connection with the terms outlined with the company’s Plan Prospectus, please note an investor has nocontrol over the price, and, the time at which shares are sold. Be aware that the price of the stock may rise or fall during the period between a requesting sale and the actual transaction. An Investor bears the market risk associated with the fluctuations in the price of the stock from the time you authorize a transaction until the completion of the sale. In closing, our records show that the proceeds from the sale was negotiated and your account with PepcoHoldings Inc. is now closed. We sincerely apologize for any inconvenience you experienced as a result of the aforementioned events. Ifyou require additional information, please contact me directly at ###-###-#### or via email at [redacted]Sincerely,Nicole B[redacted]Vice President, Transfer Services & Correspondence DepartmentAmerican Stock Transfer & Trust Company, LLC

Revdex.com:
At this time, I have not been contacted by American Stock Transfer & Trust Company, LLC regarding complaint ID [redacted].
Sincerely,
[redacted]
I received by mail a check for a partial share in IBCP.  The converted shares have not been posted in my...

trading account.  ASTT has not contacted me regarding complaint listed above.
[redacted]

A review of our records reflects that the documents you submitted by regular mail were delivered to AST's office on April **, 2015.Due to the nature of your request to transfer and replace the shares please allow at least 5 business days for processing. After the request is processed you will receive a confirmation, not via the Revdex.com channel.  Since AST just received such documents and the request has not been processed we did not communicate with you as of yet. Further communication on this issue should be directed to designated employee for this case, [redacted]

Dear [redacted], American Stock Transfer & Trust Company, LLC ("AST") is the Co-Agent for Liberator Medical Holdings Inc. and responsible for distributing dividends to shareholders of record as of July, 2015. During your conversation with AST's Vice President, Nicole...

B[redacted], on Tuesday, September *, 2015, you did not receive your dividends from the period of May * 2013- April **, 2015 and you have communicated with both the Co-Agent and AST to reconcile our records and reissue the dividends from said period. AST is currently conducting a reconciliation process for this client, and unfortunately, you have experienced a delay period with the reissuance of your checks during this process. In an effort to resolve this matter quickly, we have reissued the funds for both accounts to your custodian, [redacted], for credit to your account via [redacted] overnight delivery. A copy of the letter and checks has also been sent to you via [redacted] overnight delivery as per your instruction. We appreciate your candor, and taking the time to provide a description of your communication.  We sincerely apologize for any inconvenience you experienced in conjunction with our reconciliation process, and assure you that this is not the level of service that we aspire to. Our Senior Management Team is continuing to investigate each incident surrounding your communication and we will remediate our process where necessary.Again, thank you for your feedback, and we trust our actions has addressed your concerns.If you require additional information, please communicate with Nicole B[redacted] directly. Sincerely, American Stock Transfer & Trust Company, LLC

Revdex.com:
I have reviewed the response made by the business in reference to complaint ID [redacted], and find that this resolution is satisfactory to me and the matter has been resolved.While they did not send me the 1099 statement that my tax preparer said that I needed, their explanation in the letter I received will hopefully be sufficient to file my 2014 tax return.Thank you for your assistance in this matter.
Sincerely,
[redacted]

Review: I have been trying to get the company to transfer the stock from my late husband's name to mine. I have literally been communicating with them since the date of death in 2003. Most recently I thought they finally cleared for the name change and the transfer. I have submitted, multiple copies of death certificate, reminders of the correct address with which to communicate etc. In late 2014, they stated a list of things for me to submit to finalize the transfer, including something called a Medallion Guarantee, all of which I submitted. Now I get a letter from them, addressed to the old PO box number which I have notified is not the correct mailing address. In the latest correspondence, they say they cannot be processed and they are asking for documents previously submitted. I spoke with a contact of mine who works for [redacted] investments and he informed me that AST is notorious for dragging their feet on release of stock through a transfer.Desired Settlement: I want to have them complete the stock transfer. I have sent a notarized affidavit of loss, medallion guarantee, copy(ies) of the death certificate of my late husband [redacted]., etc. etc.

Business

Response:

Dear [redacted]:We have received the inquiry you have submitted tothe Revdex.com for a response. A review of our records indicates that on November**, 2014 and December **, 2014 you communicated telephonically with AmericanStock Transfer & Trust Company, LLC (AST) regarding the replacement of thelost certificate and the reregistration of the account. On both occasions theAffidavits of Loss and transfer documents were sent to you for completion. OnJanuary *, 2015 we received a letter of instruction to transfer, an incompleteAffidavit of Loss and a check for $75.30. Furthermore, in order to re-register the account ATransfer of Ownership form with a medallion signature guarantee and a notarizedAffidavit of Domicile must be submitted. We also encourage you to complete thereplacement documents you received and sign in capacity as successor, executoror the personal representative. Since we never received all the relevantdocuments from you we were unable to process your request.With reference to the address of record, please beadvised that the address was updated on December *, 2014. Regrettably, thecheck and the replacement documents were erroneously returned to the oldaddress by the customer service representative as they used the address listedon the Affidavits of Loss. Going forward all correspondences will be mailed tothe address of record.Please accept our sincere apologies for theinconvenience you experienced. Our senior management team is continuing toinvestigate this incident and we will remediate our process where necessary toensure a more convenient process. Kindly return the completed documents to [redacted]

[redacted] to the attention of [redacted] and I will have therequest expedited to avoid further incident. Should you require furtherassistance, please contact me directly via email at [redacted]or at ###-###-####. Sincerely,[redacted]

Consumer

Response:

I have reviewed the response made by the business in reference to complaint ID# [redacted], and have determined that my complaint has NOT been resolved because:

I have previously returned all forms including the affidavit of loss, the medallion certificate, the notarized statements, etc. Apparently this stonewalling saying that these forms were not submitted is a default position of this company. I will again send the same information, however I will not go out and have the documents re-notarized, nor the medallion certificate re-issued, I will simply return what was previously sent and will send it to the attention of the person from AST who responded to this inquiry. Once a reasonable amount of time has passed and I still have gotten delays, I will re-contact Revdex.com. Thanks for your intervention. ---[redacted]

In order for the Revdex.com to appropriately process your response, you MUST answer the question above.

Sincerely,

Consumer

Response:

I have reviewed the response made by the business in reference to complaint ID# [redacted], and have determined that my complaint has NOT been resolved because:

The company's generic response is non-specific as to when I will receive the transfer. The documents in question were mailed to AST on April **, 2015. I would expect that given the complaint, the company would communicate to me that the documents were received. Here and now I am left wondering about the status. What would be helpful is for the company to tell me something such as "...within X business days of receipt of the required documents, the transfer will be complete.." If the AST is not held to a specific deadline, I fear that they will continue the delays of the transfer for months. This is the precise problem which I have had with them in the past.

In order for the Revdex.com to appropriately process your response, you MUST answer the question above.

Sincerely,

Business

Response:

A review of our records reflects that the documents you submitted by regular mail were delivered to AST's office on April **, 2015.Due to the nature of your request to transfer and replace the shares please allow at least 5 business days for processing. After the request is processed you will receive a confirmation, not via the Revdex.com channel. Since AST just received such documents and the request has not been processed we did not communicate with you as of yet. Further communication on this issue should be directed to designated employee for this case, [redacted]

Review: I own stock in Norfolk Southern Corporation. I sold 851 shares of that stock on 1/**/14 at 11:01 pm for a check of $76,634.57. I followed up with a phone call to their Customer Service Department and was told my check had been mailed on 1/**/14. I never received it. I called Customer Service a 2nd time. I was told that the check had actually been mailed on 1/**/14 and I should receive it soon. I didn't. I called Customer Service a 3rd time on 2/**/14 and was told they had a "bad address" for me in their "other" system and they had put a STOP on the original check even though they had already told me numerous times the check had already been mailed. They corrected the "bad address" ( I don't know WHY my address would suddenly be "bad"? AST has mailed correspondence to me before to the very same address that has never changed.) and reissued the check on 2/** and mailed it on 2/**. I don't have my check. I called Customer Service a 4th time on 2/**/14. I was told the check was coming. I'm frustrated at this point and it's been a month since I first sold a small portion of my N&S stock holdings. AST's Plan Book states very clearly that it will take 3 or 4 days from my instruction to sell stock, to point-of-sale to issuance of check to share holder. In my circumstance; it's been a month. I feel as though I've been given the run around and am getting very suspicious of this company's ethics. I own additional stock that AST holds for N&S Corporation and am planning to cash out because of how I've been treated, but want to sort this situation out first, so that I won't have further trouble. Thank you in advance.Desired Settlement: Investigation into business practices and over night delivery of check to me by American Stock Transfer and Trust Company.

Consumer

Response:

At this time, my complaint, ID [redacted] regarding American Stock Transfer & Trust Company has been resolved.

(By clicking "OK", your complaint will be closed as Resolved.)

Sincerely,

Review: On August **, 2015 at approximately 8:30 am (central time). I contacted American Stock & Transfer Company (AST) in order to sell 265 shares of Pepco Holdings (NYSE ticker symbol: POM).

On September [redacted] (Labor Day) after waiting more than two weeks & not having received the funds for this sale, I again called American Stock & Transfer to see if I could find out when my funds would arrive. PLEASE NOTE that AST has a completely automated system. You can not speak to a human being unless you have a direct line number or an extension for a live person.

Having followed all of the automated instructions, I discovered that my stock had NOT been sold AT ALL.

I found an email address on their web site for the Manager of Shareholder Services Research Dept. I sent him an email inquiring why my stock had not been sold.

On September [redacted], 2015 I received an email message from a Mr. Darnee B[redacted], MGR of Shareholder Services Research Dept. apologizing for "any inconvenience," & requesting that I call him at the number he provided (###-###-####).

After a few attempts to reach him, he finally sent me an email indicating that he would sell my shares immediately that very day. I told him that on August [redacted] POM stock was trading at more than $27.00/share, and now was selling for about $23.00/share.

His explanation was that it was AST's policy to sell a stock the day after a request to sell the stock is made, AND THAT on August [redacted], the company (Pepco Holdings) instructed AST not to sell ANY shares of POM stock due to the merger with Excelon which had been ongoing for over a year and a half.

I told him that I find that hard to believe because Pepco stock appeared to have traded all day on August [redacted]. As a matter of fact, POM stock dropped about $4.00/share on August [redacted]. OBVIOUSLY, many people were selling POM stick that day. I asked why my stock had NOT been sold on the [redacted]. He stated that a request to sell shares is not completed until the following day.

AGAIN, I find that difficult to believe given the fact that he told me on September [redacted], that my shares would be sold immediately; and in the follow up conversation, he informed me that they had, in fact, been sold, and that a check would be dispatched to me on Thursday, September [redacted].

I am ABSOLUTELY certain that I am NOT the only person wanting to sell shares that American Stock & Transfer was holding on August [redacted], 2015. DID WE ALL GET DEFRAUDED???Desired Settlement: I would like for American Stock & Transfer to pay me the difference between what my stock was selling for on the day I asked them to sell it (August **, 2015), and the day they actually sold my stock (September [redacted], 2015).

Business

Response:

Dear [redacted]:We have received the complaint that you submitted to the Revdex.com for a response. A review of our records reflects that on August **, 2015 at 9:15 a.m. eastern standard time, AmericanStock Transfer & Trust Company, LLC (“AST”) received your sale request via our Interactive Voice Response System (IVR). On the same date, the shares were debited from your outstanding balance and held in a pending status for liquidation. If you wanted to speak with a live representative at any point during this transaction, selecting option 1 (one) then option 0 (zero) was available.Coincidently, AST received notification from Pepco Holdings Inc. on August **, 2015, to notify the Depository Trust Company (DTC) of the effectiveness of the merger. American Stock Transfer & Trust Company,LLC (“AST”) notified the Depository Trust Company (DTC) of the effectiveness of the merger on August **, 2015 at 9 A.M. This prompted DTC to place a “chill” or “global lock” on the security immediately upon notification. As a result of the chill we were unable to initiate any pending or new trades for the company for this date. Unfortunately, the District of Columbia declined the terms of the merger, and the chill status was removed from the security. Since AST was unable to successfully process any sales submitted from August **-[redacted], a new sale request, or verification to process the initial request must be initiated by the shareholder. In an effort to resolve this matter AST communicated with all shareholders who had a telephone number recorded on their account. Since your request was entered via our IVR, we were unable to reach you telephonically to initiate a new trade request. When you communicated with our Shareholder Services Department on September *, 2015, you were advised that the sale was not honored on the date you requested; however, we immediately sold the shares on September *, 2015, as outlined in the turnaround time reflected in the company’s plan prospectus.In connection with the terms outlined with the company’s Plan Prospectus, please note an investor has nocontrol over the price, and, the time at which shares are sold. Be aware that the price of the stock may rise or fall during the period between a requesting sale and the actual transaction. An Investor bears the market risk associated with the fluctuations in the price of the stock from the time you authorize a transaction until the completion of the sale. In closing, our records show that the proceeds from the sale was negotiated and your account with PepcoHoldings Inc. is now closed. We sincerely apologize for any inconvenience you experienced as a result of the aforementioned events. Ifyou require additional information, please contact me directly at ###-###-#### or via email at [redacted]Sincerely,Nicole B[redacted]Vice President, Transfer Services & Correspondence DepartmentAmerican Stock Transfer & Trust Company, LLC

Review: On July ** this year I mailed 359 shares of IBCP (old) to Link Shareholder Services for conversion to new stock shares. These shares were on 10 original stock certificates and had been paid as dividends by IBCP. Link Shareholder Services LLC, [redacted], is a subsidiary of American Stock Transfer (AST). They were to send to my address the converted shares of IBCP (new) but time went by and they did not send the shares. I called Link Shareholder two times, the last on Sept. [redacted], asking for my stock shares and partial share payment check. They had no idea where the shares were nor what had happened to them. On this occasion the agent said he would notify his [redacted]. I never heard from him or the [redacted]. I called again and was given another telephone number to call: ###-###-####. I called that number and talked to an agent named "[redacted]." [redacted] is a talker who tries to talk clients down. However, he said that my (new) shares had been processed and had been ready since August * and were being held there at AST. I asked why they had not been sent to me sooner and why no notice had been sent to me; he was just an unpleasant talker and dismissed my concerns, and the conversation got heated. I suspected that AST or Link were using my stock shares in the market for their own benefit.Desired Settlement: Complete the transfer of my shares into IBCP (new) by sending them to me at my current address that I provided, including check. Give me an explanation why

this had not been done after August [redacted] , the date of stock transfer, according to the agent, and why no notification was sent to me.

Consumer

Response:

At this time, I have not been contacted by American Stock Transfer & Trust Company, LLC regarding complaint ID [redacted].

Sincerely,

I received by mail a check for a partial share in IBCP. The converted shares have not been posted in my trading account. ASTT has not contacted me regarding complaint listed above.

Business

Response:

We have now resolved that one with the shareholder. He had a bad address on his account but he now has his shares(account statement) and his check.

Product Management, Sales & Client Management Support

Consumer

Response:

I have reviewed the response made by the business in reference to complaint ID# [redacted], and have determined that my complaint has NOT been resolved because:

[Your Answer Here]

I have received no accounting statement regards the value of the shares AST took for their service. Nothing was said about the 17 lost shares.My correct address was clearly written on each of the ten certificates and in the change address box in the form that was returned to them. They just didn't do an honest or competent job. I believe that they have been trading my shares. According to their communication, this business was completed on August [redacted], but no shares were sent to me although their form indicated that they would be. In all, AST is a very shoddy business.

In order for the Revdex.com to appropriately process your response, you MUST answer the question above.Sincerely,[redacted]

Business

Response:

Dear [redacted], We have received the complaints that you submitted to Revdex.com for a resolution. After reviewing your account it was determined that you communicated with our firm before and after your initial complaint in September. Below is a description of the communication with our firm.1. On August **, 2014 you called our customer service department and was advised that your new account was in fact established we validated the number of shares in your account and you expressed that the incorrect address was on file. A research request was placed to validate the documents we received. 2. On August **, 2014 an associate called you back and advised we updated your address and we mailed a new account balance statement to your address on record.3. On September **, 2014 you called our customer service department regarding dividend reinvestment issue, and where advised that you needed to send a letter to discontinue dividend reinvestment. 4. On October *, 2014 we received your written request and discontinued dividend reinvestment. Finally on October **, 2014 we emailed another account statement to you.Based on your experiences, non receipt of the statements and complaint to the Revdex.com Link Shareholder Services waived the service fee you incurred back in August and sent you a refund for $62.05 on October **, 2014. You cashed this check on November *, 2014. On November *, 2014 ALL of your shares were transferred to your stock broker and your account with AST is closed. After reviewing your communications it appears that you were advised that the account was in fact established after your communication with LSS in August; however the issue at hand is that you were unaware the shares were held electronically in book entry position. If it was your intent to receive a stock certificate we would have been happy to provide if you requested such. We sincerely apologize that this was not made clear with the various communications you had with our firm, and we will remediate our process where necessary. To that end, if you require additional information, please feel free to contact us [redacted]

Review: I am retired and living in Miami. Each quarter I am supposed to receive three dividend checks from the same stock. two are small and one is large. Each quarter the two small checks come but the large one never comes without calling and complaining about the check not coming. Last week I spoke to Steve who assured me that he was sending out a replacement check overnight. The check never came. It never does without repeated calls.Desired Settlement: I would like my check sent without having to call every three months

Consumer

Response:

I have reviewed the response made by the business in reference to complaint ID [redacted], and find that this resolution is satisfactory to me and the matter has been resolved.

Sincerely,

Review: I recently moved back in April and as I was unpacking a box I found a stock certificate for one share of AG Edwards, Inc. common stock issued January *, 1994. I immediately gave the certificate to my broker for deposit into my account, and after several month (April-July) I was notified by my current brokerage firm that certificate had previously been surrendered on January **, 2003. I had no idea who would have surrendered a stock certificate in my name or who would have had the authority to do so other than myself. It is my understanding that to surrender a stock certificate you must send in certain paperwork along with the certificate itself. Upon my calling American Stock Transfer and Trust I was told that because it was over 10 years ago and they are only required to keep information for 7 years I could pay a $50 fee for 2 hours of research in their archives to get information. I said that is unacceptable since I had provided the cusip on the certificate, the certificate number, and my social security number, the registration on the certificate as well as the date on the certificate itself. To my understanding they could just send me a 1099 from 2003 or a January Statement or possibly the various pieces of correspondence they were suppose to have sent in their attempts to locate me. I checked with Wells Fargo's transfer agent since AG Edwards was aquired by Wells and they said they only have information given to them by the previous transfer agent, American Stock Transfer and Trust. So I proceeded to call them back and again gave all the information to the representative. This time however I was told that I would have to speak with a dedicated team that handled AG Edwards stock, and so I was transferred. Upon speaking with that individual I was then transferred again, and again and again. I finally had to ask to speak with a manager because I wasn't getting anywhere being constantly transferred. Upon speaking with the manager she stated that maybe the funds had be escheated to the state of New Jersey, since that was the last address they had listed for me. I have not lived in the state of New Jersey since 1999, and to my knowledge no one in my family has received any correspondence nor had any contact with American Stock Transfer and Trust regarding my share of AG Edwards. It is my understanding that a conscious effort must be made to locate the owner of a stock before it can be escheated to the state but while I was still on the phone I proceeded to go to the state of New Jersey website to see if I had any unclaimed property in my name. I found nothing, so I checked in New York where the stock was purchased and even in Pennsylvania where I currently live and have lived since 1999. I found nothing in any state regarding unclaimed property of mine. The women then said that I could send a letter with a copy of the certificate along with a $75 fee to get information regarding the surrendering of the certificate. I honestly do not understand why not one person could help me without me having to pay some type of fee when I had given specific information.Desired Settlement: I would like someone to either call me or send me information about who surrendered the certificate and where the funds for the surrender were sent because to my knowledge I never recieved any compensation. Thank you.

Business

Response:

Dear [redacted]:

We have received the inquiry you have submitted to the Revdex.com for a response.

We appreciate your patience while we thoroughly investigated our records, and apologize for our delayed response.

Our records indicate there are no active accounts held in your name. The following certificate was surrendered by the prior transfer agent on January **, 2003:

Certificate # Issue Date #of Shares [redacted] 01/**/1993

Please note, American Stock Transfer & Trust Company, LLC, does not charge any fees in accordance with fulfilling research requests that are available in our archives. Since this transaction was processed by the prior agent, Bank of NY Mellon, we do not have any additional records of this action. Any documents that may have been completed in part with this surrender must be provided by the prior transfer agent, Computershare Investor Services, formerly known as BNY Mellon Shareowner Services, at [redacted], or ###-###-####.

We apologize for any inconvenience in regards to this matter. Ifyou require additional information please contact me directly at ###-###-####.

We trust the above information is helpful.

Sincerely,

Consumer

Response:

I have reviewed the response made by the business in reference to complaint ID [redacted], and find that this resolution is satisfactory to me and the matter has been resolved.

Sincerely,

Review: I would like to file a complaint against American Stock Transfer and Trust. My parents owned stock through [redacted]. for several years. When my father, [redacted], died on February *, 2014, we had his shares transferred over to my mother, [redacted], who was then the sole owner of all the shares (10,056 shares). My mother then passed away on September **, 2014. After her passing, all of their possessions (personal, monies, stock, etc) were left to my brother and me. We contacted their broker, Todd B[redacted] at [redacted] in Hawkinsville, GA, and advised him that we wanted the stock divided between the both of us equally and then sold with the proceeds being payable to us individually. All of this was done in November and December, 2014 with no problems.

While gathering my 2014 tax information the last of March, 2015 for our tax preparer for filing, he informed me that I needed a “Consolidated 1099 Statement” from AST stating the value of my shares that were sold as of the date of my mother’s death (September **, 2014) for tax purposes. I immediately contacted Mr. B[redacted] at [redacted] to advise him of this and he stated he would contact AST in order to get the information I needed. Needless to say, this started a humongous volume of telephone calls back and forth to AST, all to no avail. Mr. B[redacted], his secretary and I have called numerous times and talked with multiple representatives with AST including (only to name a few) Aean P[redacted], Call Center Supervisor (###-###-####, ext. [redacted]), Gerald, Call Center Representative (###-###-####, ext. [redacted]), and Steve J[redacted] (###-###-####, ext. [redacted]). On several occasions Mr. B[redacted] has included me in the conversations with AST via 3-way conference call. On all of the phone calls, they would say that a request would be put in for the information that I needed. Time and time again after each call, I never received anything from them, not even a telephone call. During one of the conversations with Aean P[redacted], he requested that I fax him a copy of both my father and mother’s death certificates (they already had these in their possession since the transfer of the shares initially). This was done on June **, 2015. Each time we call we have to go through the whole story since we receive a different person on each call. They have all this on their computer because they tell us they see where the information has been requested. I finally received an email from Krystal C[redacted], Research Facilitator with AST, on June **, 2015 attaching a “Basis Transfer Statement”. This is not what I needed in order to file our tax return. My tax preparer gave me a copy of the form that I needed from them. I emailed a copy to Krystal C[redacted] and pleaded with her for her assistance in obtaining this information. NEVER got a response from her to this day. We have continued to call numerous times since receiving Ms. C[redacted]’s email but all to no avail again.

We have had to file an extension with the IRS to delay filing our tax return due to this issue. It is now August [redacted] and I still do not have the necessary form that I need from AST showing the value of the shares sold as of September **, 2014 (the date of my mother’s death).Desired Settlement: I would like for AST to furnish me with the information requested, a "Consolidated 1099 Statement" showing the valve of my shares as of the date of my mother's death (September **, 2014) so that I can file my 2014 Federal income taxes.

Business

Response:

Dear [redacted],We have received the complain you submitted to the Revdex.com for a response.An extensive review of our records reflects that multiple requests were submitted for cost basis information and the date of death value on the accounts. Consequently, numerous requests for cost basis statements were fulfilled minus the requested letter showing the value of the shares as of September **, 2014.Admittedly, our standard verification procedures were not followed and this is not the typical level of service that we aspire to. Our senior management team is continuing to investigate this incident and I assure you that we will remediate our process where necessary. Per our communication telephonically, I completed a letter providing the requested information which was sent to you under separate cover. With regards to the consolidated 1099, this document is not available since dividends were paid solely on the old accounts registered in the name of the trust. Dividends were not paid on the new accounts, there is nothing to report to the IRS. We sincerely apologize for any inconvenience caused as a result of our actions and we hope that you will have no further cause for complaint in relation to our service.If you require further assistance please contact me directly at ###-###-#### or [redacted].Sincerely,Kelon J[redacted]Shareholder ServicesAmerican Stock Transfer & Trust Company, LLC

Consumer

Response:

I have reviewed the response made by the business in reference to complaint ID [redacted], and find that this resolution is satisfactory to me and the matter has been resolved.While they did not send me the 1099 statement that my tax preparer said that I needed, their explanation in the letter I received will hopefully be sufficient to file my 2014 tax return.Thank you for your assistance in this matter.

Sincerely,

Review: Several years ago my employer underwent a cash merger; American Stock Transfer and Trust has since then been holding money owed to me as a holder of common stock in the company I worked for. I have tried repeatedly since April to inquire with American Stock what steps are required in order to receive my money held by them. I have received contradictory directions from several employees of American Stock; I have been promised forms that I never received; and several times I have been put on hold and then disconnected.

I need the money held by American Stock; it is my money held in "trust", although trust is the last word I would use to describe American Stock.Desired Settlement: To receive the assistance I need in order to retrieve my money from American Stock.

Business

Response:

[redacted]

Dear [redacted]:

We have received the complaint that you submitted to the Revdex.com regarding the account that is maintained on our records.

A review of our records reflects that your account has XXXX outstanding shares of [redacted] under account number [redacted]. These shares are held in certificate form and was issued and mailed to you by the prior agent. The following certificates were issued:

Certificate #: # of shares

XXXXX XXX

XXXXX XXX

XXXXX XXX

XXX XXX

On January *, 2012, American Stock Transfer & Trust Company LLC (AST) was appointed as the tender agent for [redacted] due to their acquisition by [redacted]. As part of the acquisition all shareholders of [redacted] was entitled to a certain cash value interpreted by the company directly. Notification of the corporate action along with a letter of transmittal form to execute the tender was set to all registered holders. In order to receive the cash entitlement the letter of transmittal along with the physical certificates must be returned to AST for payment.

A further review of our records reflects that you communicated with our Shareholder Services Department telephonically, on several occasions, to discuss your account and the receipt of the necessary requirements to replace the lost certificates.

With your recent communication on September **, 2014 you mentioned that you did not receive the affidavits of loss to replace the certificate. We have attached the affidavits you requested and ask that you complete in duplicate, notarize and return with the check for the bond fee and the letter of transmittal. Please return the completed affidavits to our Replacement Department at [redacted].

To that end we sincerely apologize for any inconvenience you experienced when communicating with our Shareholder Services Department. Our Senior Management Team is continuing to investigate these incidents and we will remediate our process where necessary.

If you require additional information please contact me directly at [redacted] or ###-###-####.

Sincerely,

Review: Amstock is PAID MILLIONS of USD (US DOLLARS) ""IN ADVANCE"" by Public Corprations with specific instructions to distribute EARNED Dividends to the respective STOCKHOLDERS of these Public Corporations.

Since May 2015, OVER 3 MONTHS NOW, I have been trying to get more than $5,000.00 owed to my wife & I for Dividends paid to FIRST AMERICAN STOCK in Phoenix & American Stock in New York.

No one will give me a STRAIGHT &/or DIRECT ANSWER, "Did Amstock 'ACQUIRE First American in Phoenix "OR" just the "ACCOUNTS"?

Last week a Supervisor, Auriela M[redacted], told me, "[redacted]."

The July 2015 Dividends were sent to the WRONG (FORMER) Broker

Account. I got my check late in August, my wife is still waiting for her check. Our JOINT FUNDS were received on ** JUL 15; THE DUE DATE.Desired Settlement: We want our UNPAID DIVIDENDS. Reimbursement of charges for JULY 2015 which Amstock sent to the WRONG BROKER.

I BELIEVE TREBLE DAMAGES ARE APPROPRIAYE ACCORDING TO THE SEC.

I have been told numerous times that when I performed a specific task, a check would be mailed within 2 workind days.

Always something else, but, never a check.

LIES or MISREPRESENTATION S of MATERIAL FACTS are the SAME to ME.

TELLING THE TRUTH IS NOT LIABLE.

Business

Response:

Dear [redacted], American Stock Transfer & Trust Company, LLC ("AST") is the Co-Agent for Liberator Medical Holdings Inc. and responsible for distributing dividends to shareholders of record as of July, 2015. During your conversation with AST's Vice President, Nicole B[redacted], on Tuesday, September *, 2015, you did not receive your dividends from the period of May * 2013- April **, 2015 and you have communicated with both the Co-Agent and AST to reconcile our records and reissue the dividends from said period. AST is currently conducting a reconciliation process for this client, and unfortunately, you have experienced a delay period with the reissuance of your checks during this process. In an effort to resolve this matter quickly, we have reissued the funds for both accounts to your custodian, [redacted], for credit to your account via [redacted] overnight delivery. A copy of the letter and checks has also been sent to you via [redacted] overnight delivery as per your instruction. We appreciate your candor, and taking the time to provide a description of your communication. We sincerely apologize for any inconvenience you experienced in conjunction with our reconciliation process, and assure you that this is not the level of service that we aspire to. Our Senior Management Team is continuing to investigate each incident surrounding your communication and we will remediate our process where necessary.Again, thank you for your feedback, and we trust our actions has addressed your concerns.If you require additional information, please communicate with Nicole B[redacted] directly. Sincerely, American Stock Transfer & Trust Company, LLC

Review: I have been attempting to sell shares of [redacted] stock since May 2015. I contacted AST May [redacted] to inquire about the process of selling the stocks and was told that since I did not have the original certificates I needed to order duplicates. I requested the affidavits and received them as of June [redacted]. I had the documents notarized and sent back to AST on Monday, June [redacted]. I contacted AST on June [redacted] and was told they were in receipt of my documents and would process and send my stock certificates within a week. On June [redacted] I received another set of duplicate stock request but no actual stock certificates. On Monday, July [redacted] I called to find out why my certificates had not been received and was told they were still being processed and my email address was requested so AST could inform me when they would be mailed. On July [redacted] I called again and was told that my request had never been received. I was further told I should only use mail with a barcode or [redacted] and that I needed to resubmit my request. I also received an email saying they had no record of my affidavits being received and I needed to resubmit. I am losing money as AST plays this game and frankly I find their cavalier attitude dismissive and rude. I should be able to use the [redacted], as I do with all other mail and not be subject to chastising for not spending extra to insure my mail is located by AST. I am sending duplicates on Monday July [redacted] but have already been told that it may take a month or more for my request to be processed and mailed. This is unacceptable business practice and certainly unfair to shareholders trying to sell stock. I am also contacting the Attorney General's Office in the Commonwealth of [redacted] to file a consumer protection complaint.Desired Settlement: I would like my certificates delivered and in a timely fashion so I may sell my stocks. I have already submitted the required paperwork and believe fault lies with AST as they have clearly lost or misplaced my affidavits.

Business

Response:

Dear [redacted], Thank you for contacting our Shareholder Services Department at American Stock Transfer & Trust Company, LLC. We have received the complaint you submitted to the Revdex.com for a response.Our records do not indicate that we have received the documents you submitted to have the certificates replaced. Attempts to contact you at the number provided (###-###-####) have been unsuccessful. In response to the email you sent on July **, 2015 stating that the documents have been submitted a second time, please verify it has been sent to our address [redacted], [redacted] to the attention of the Transfer Department. Upon receipt of the required documents your request will be expedited once all requirements have been satisfied. Should you require additional information please contact me directly at ###-###-#### or [redacted]. Sincerely, Kelon J[redacted] Shareholder ServicesAmerican Stock Transfer & Trust Company, LLC

Consumer

Response:

I have reviewed the response made by the business in reference to complaint ID# [redacted], and have determined that my complaint has NOT been resolved because I have, in fact had multiple conversations as stated in the original complaint and I have explained to the respondent in an email that I mailed a second request with a date of mailing and in an enveloped provided by AST.

I will contact them again today in response to their response.

In order for the Revdex.com to appropriately process your response, you MUST answer the question above.

Sincerely,

Business

Response:

Dear [redacted],We do apologize for the delayed response.Our records indicate that we received the documents regarding the replacement of your shares on July **, 2015. The shares in one of your accounts has been replaced and is held electronically in the book entry position. An account balance statement has been sent to you via email providing the information regarding the shares. The replacement for the remaining balance of 17 shares is currently being processed and should be completed in 3-5 business days. Upon completion, a statement will also be forwarded to you via email. If the broker is a participant in the DRS Profile system, the broker may request the shares fromAST utilizing the automated Profile system. The broker must be provided with the shareholder account number, taxpayer identification number, and the name in which the shares are registered. The broker must also be provided with the number of shares that are to be transferred. Please be advised, the broker mayrequest the shareholder send him/her a copy of the Direct Registration Statement. If the broker is not a participant in the DRS Profile system, please write to AST at the address listed above, instructing AST to credit the brokerage account. Please include the AST account number, the name of the brokerage institution, the brokerage account number, and the number of shares that are to be transferred. The letter of instruction must be signed by all owners listed on the account registration and the signatures must be guaranteed by a bank, broker or other financial institution that is a member of a Securities Transfer association- approved medallion program such as [redacted], [redacted] or [redacted]. It would speed processing if youwould include a copy of this Direct Registration Statement. Please coordinate with your broker to ensure that they will accept share delivery via the Direct Registration system.Should you require additional information, kindly contact me directly at ###-###-#### or via email [redacted]SincerelyKelon J[redacted]Shareholder Services

Review: I have been trying to transfer my stock out of a custodial name into my own name.

My mother is dying and we are trying to get the stock in my name, as I am 39 years old and no longer a minor.

I sent in all of the needed paperwork as well as the original stock certificates. (I have certified mail and images to prove this.)

I received a message from the woman handling my account, [redacted] - [redacted], stating the the stock certificates were not received.

I have called her back multiple times over the past 2 weeks in an attempt to rectify this problem, and she has not returned any of my calls.

I intend to sell this stock as soon as possible as the value is dropping, but I am unable to do so.

- [redacted]Desired Settlement: I would like [redacted] to call me as soon as possible and be made a priority, so we can rectify this situation as soon as possible.

Consumer

Response:

I have reviewed the response made by the business in reference to complaint ID [redacted], and find that this resolution is satisfactory to me and the matter has been resolved.

Sincerely,