|
Service |
Fee |
Recurrence |
Definition |
|
Account Transfer Out |
$60.00 |
Per Account Transferred |
Accounts that are transferred to another financial institution. |
|
Account Transfer Out- Partial |
$25.00 |
Per Transferred Security, Per Broker |
Accounts that transfer part of their portfolio to another financial institution. |
|
DRS Transfer- Out |
$95.00 |
Per Stock |
Electronic transfer of stock over the DRS system. |
|
DTC Transfer- Out |
$25.00 |
Per Stock |
Electronic transfer of stock over the DTC system. |
|
DWAC Transfer- Out |
$50.00 |
Per Stock |
A type of electronic stock transfer. |
|
Accommodation Transfers (Stock Certificate Request) |
$75.00 |
Per Certificate |
All transfers of stock from "Street Name" to personal certificate registration and delivery. This process normally takes 3-4 weeks to complete. |
|
Rush Accommodation Transfer (Rush Stock Certificate Request) |
$300.00 |
Per Certificate |
All "rush" transfers of stock from "Street Name" to personal certificate registration and delivery. A "rush" transfer normally takes 3-4 days to complete. |
|
Lost Certificate Replacement |
$50+ insurance
|
Per Certificate |
Placing a "stop" on a physical certificate requested from your brokerage account, and getting a new one reissued. |
|
Post Actionable Reorganizations |
$25.00 |
Per Security Issue |
Reorganizations in which a physical certificate is delivered for processing after offer expiration. |
|
Voluntary Reorganizations |
$25.00 |
Per Security Issue |
Reorganizations such as tender offers in which a customer is able to elect to participate. |
|
Legal Transfers - Standard (Rule 144 Stock Certificate Deposit) |
$100.00 |
Per Certificate |
Transfers/deposits requiring legal papers in addition to stock powers. Note: York Securities no longer accepts transfers or certificate deposits of knowingly restricted stock.
|
|
Legal Transfers - Restricted (Rule 144 Stock Certificate Deposit) |
$200.00 |
Per Certificate |
Transfers/deposits of restricted stock requiring legal papers in addition to stock powers. Note: York Securities no longer accepts transfers or certificate deposits of knowingly restricted stock.
|
|
Stop Payment of a Check |
$30.00 |
Per Check Stopped |
Placing a "stop payment" on a check written off the balance of your brokerage account. |
|
Wire Transfers - Domestic |
$25.00 |
Per Transfer |
Transfer of funds to another financial institution via Federal Wire System. |
|
Wire Transfers - Foreign |
$50.00 |
Per Transfer |
Transfer of funds to another foreign financial institution via SWIFT Wire System. |
|
Overnight Courier |
$25.00 |
Per Occurrence |
Usage of overnight courier, DHL (for check withdrawals only). |
|
Returned Checks / ACH |
$40.00 |
Per Occurrence |
Checks deposited, or ACH items, which are rejected for insufficient funds, etc. |
|
T-Call or Extension Mailgram |
$10.00 |
Per Event |
Fee charged for inadequate cash position. |
|
House Call / Sell Out / Buy In Mailgram |
$5.00 |
Per Event |
Margin Notices. |
|
Uneconomical Sale Processing |
$35.00 |
Per Stock |
Fee charged on the sale of a stock where the proceeds do not meet the commission charge. |
|
IRA Maintenance |
$50.00 |
Per IRA |
Fee charged annually in December (starting in 2005). Waived if one commissionable trade (purchase or sale of a security, in which a commission is charged) is made during the one-year period ending December 31st. |
|
IRA Termination |
$60.00 |
Per Account |
The closing or transfer of a retirement plan. |
|
Keogh, Profit Sharing, & MPPP Establishment Fee |
$45 |
Per Account |
One time fee charged to open these qualifed plan retirement accounts. |
|
Keogh, Profit Sharing, & MPPP Annual Maint Fee |
$60, $35 |
Per Group of Accounts |
The first participant is charged $60; each additional participant is charged $35 annually. |
|
Keogh, Profit Sharing, & MPPP Termination Fee |
$75 |
Per Account |
One time fee charged to close these qualifed plan retirement accounts. |
|
Duplicate copy of Monthly Statement or 1099 |
$5 |
Per Statement |
A duplicate copy of a monthly statement is $5. |
|
Inactive Accounts |
$60.00 |
Per Account |
Fee charged annually based on the one year period ending June 30. (See below for exemptions)… |