Golden Gate Bridge

Managing Stock
Transfer Costs
Responsibly
Since 2006

Recent News

Summer 2025

Transfer Agent Services in 2025

The stock transfer industry has seen a LOT of changes in the 38 years we have worked within it.  So, we thought we should list some of the more interesting recent developments we have gleaned from our continuous interactions with key industry players.
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Winter 2025

EQ Data Breach – Updated SEC Data Protection Regulations

On 8/20/24 stock transfer agent EQ settled SEC charges by paying a civil penalty of $850,000, agreeing also to “censure.” Two separate cyber intrusions into EQ’s shareholder database, in 2022 and 2023, had resulted in the loss of $6.6 million in client funds, of which just $2.6 million were recovered. The SEC stated that EQ “…failed to provide the safeguards necessary to protect its clients’ funds and securities from the types of cyber intrusions that have become a near-constant threat to companies and the markets,” going on to say “…transfer agents must act to implement and maintain effective safeguards and procedures around client assets.”
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Testimonials

Shareholder Service Solutions, Inc.

Andrew Wilcox's experience in the transfer agent space was invaluable as we undertook a thorough review of our contract for stock transfer services.  His expertise resulted in a substantial cost savings for us annually.  We highly recommend his services! ~ Gay L. Wolf, Manager, Stockholder Relations, The Hershey Company

Helpful Hint

Protect your shareholders’ stock and cash from escheatment, enhancing your investor relations

States in the U.S. have become increasingly greedy.  They hire “contingent fee auditors” to sniff out stock and cash on transfer agents’ books which they CLAIM are property “abandoned” by shareholders –...
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Term of the Month

Precatory

Precatory means expressing a wish or desire, rather than a legal obligation to perform.  Relative to annual shareholder meetings it describes company management proposals like say-on-pay, or any shareholder proposals.  I.e., management needs to “face up to” the voting outcomes on such proposals if they were not what it hoped for, but it is technically not required to act on them.  That said, management usually acknowledges such negative results at least, and promises to seriously evaluate them.

Quote of the Quarter

“Investing should be more like watching paint dry or grass grow.  If you want excitement, take $800 and go to Las Vegas.” ~ Paul Samuelson