Restricted Security Transactions

To liquidate restricted securities, please contact one of our customer service representatives for details.

Prior to selling restricted securities, documentation must be completed and approved by WR Hambrecht + Co. Documentation will be filed with the Securities and Exchange Commission concurrent with the transaction date.

All original documentation must be received by WR Hambrecht + Co no later than the following business day from the date of the transaction. Prior to WR Hambrecht + Co executing your order, documentation must be faxed to our office for review and approval, at 610-725-1167.

Important Notes

• If your original paperwork is not received by our office, WR Hambrecht + Co. reserves the right to cancel your transaction. You will be liable for any loss resulting from this action.
   
• Access to Proceeds:
  Proceeds from the liquidation of restricted securities will be credited to your account, but not available for use until the new certificate has been received by WR Hambrecht + Co from the transfer agent.

For additional information or to answer any questions you may have, please contact us toll free at 1-800-673-6476. WR Hambrecht + Co representatives are available Monday through Friday, 8:30 a.m. to 6:00 p.m. Eastern Time.