| ACAT Transfers of Accounts Out of Legent Clearing |
 |
$ 100.00 |
|
|
|
| Checks |
|
|
| Stop Payments |
|
$ 15.00 per check |
| Returned Checks |
|
$ 20.00 per check |
| Photocopies of Checks |
|
$ 5.00 per check |
| Check Writing Stop Pays |
|
$ 15.00 |
| Prepayments |
|
$ 35.00 plus interest |
| Returned ACH Items |
|
$ 20.00 |
| Individual Retirement Account (IRA) |
|
|
| IRA Annual Custodial Fee (waived for the first year) |
|
$ 35.00 per plan |
| IRA Transfers (including transfer of Roth to Traditional IRA or vice versa) |
|
$ 20.00 per check |
| IRA Limited Partnerships |
|
$ 35.00 per position |
| IRA Termination Fee |
|
$ 50.00 per plan |
| Limited Partnership Charges |
|
|
| Limited Partnership/Private Asset Review |
|
$ 200.00 |
| Deposit and Set-up |
|
As incurred by Legent |
| Re-registration |
|
As incurred by Legent |
| Postage and Handling |
|
$ 60.00 |
| Annual Maintenance Fee |
|
$ 100.00 |
| Transfer on Death Registration (per account) |
|
|
| Application Fee |
|
Consult Legent |
| Change/Revocation |
|
Consult Legent |
| Distribution of Assets from Legent |
|
Consult Legent |
| Replacement of Lost Certificates not in Legent's possession |
|
$ 50.00 plus additional costs |
| Stops on Certificates |
|
$ 35.00 |
| Restricted Stock |
|
|
| Clearance or Transfer of Restricted Stock |
|
$ 30.00 plus additional agent cost |
| RUSH |
|
$ 35.00 plus additional agent cost |
| Security Transfers |
|
|
| Physical Certificate Request DTC or Non-DTC |
|
$ 35.00 per security |
| Physical Certificate Request RUSH |
|
$ 50.00 per security |
| Free Deliveries DTC |
|
$ 25.00 |
| Transfer Agent Charges As incurred by Legent |
|
|
| Coupon Processing (per shell) |
|
$ 20.00 |
| Cashless Stock Options |
|
$ 25.00 plus incurred charges |
| Bearer Bond Withdrawals |
|
$ 25.00 plus incurred charges |
| Wire Fee (Domestic) |
|
$ 40.00 |
| *International |
|
$ 40.00 |
| Overnight Delivery |
|
$ 20.00 |
| *International |
|
$ 30.00 |
| *New Zealand and Australia |
|
$ 50.00 |
| Tender/Exchange Offer (Voluntaries Only) |
|
$ 50.00 |
| Bond Redemption/Conversation |
|
$ 25.00 |
| Reg-T Extension |
|
$ 100.00 |
| Foreign Securities |
|
|
| Transfer In and Out/Physical Certificates As incurred |
|
by Legent |
| Physical Certificate Request As incurred |
|
by Legent |
| Foreign Non-Euroclear Consult |
|
with Legent |
| DWAC Charge |
|
$ 50.00 |
| Reject Charge |
|
$ 75.00 |
| Syndicate/PO Charge |
|
Consult Legent |
| Treasury Direct Auction Trades |
|
$ 20.00 per execution |
| Worthless Securities Charge |
|
$ 30.00 plus incurred charges |
| Accommodation Transfer |
|
$ 15.00 |
| Re-Delivery Charge for DK or Partial Deliveries |
|
$ 10.00 |
| Orex Trades |
|
$ 7.00 |
| Cancel & Rebill (Legent Staff) |
|
$ 5.00 |
| Trades Billed Ex-Clearing |
|
$ 15.00 |
| Commissions |
|
|
EKN Financial Services Inc. adheres to the FINRA guidelines regarding commissions although it does have a
minimum commission of $100.00 per transaction regardless of the dollar amount and there
is a postage and handling fee of $60.00. |
