From:
To:
Subject RE: SF LLC
Date: Friday, May 31, 2019 2:37:40 PM
Attachments: knaoe001.ond
Hey Rich,
So the "work item" that the processor was working to correct the transfer has been completed. That
puts it in queue for this evening to process, and update to reflect on the account this evening. I
reviewed the work item myself and it does include the remaining shares to move the remaining full
amount of that position.
Chad Markland
Senior Financial Consultant
www tdamelitrade corn
ID Anteritrade
Member FINRAISIPCMFA
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From: Richard Kahn [mailto
Sent: Friday, May 31, 2019 10:12 AM
To: Markland, Chad W
Cc: Jeanne Brennan; Alpha Group Capital
Subject: Re: SF LLC
thank you very much..
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Richard Kahn
HBRK Associates Inc.
575 Lexington Avenue 4th Floor
New York, NY 10022
On Ma 31, 2019, at 10:58 AM,
o e:
Hey Rich,
I'm already on it, been working with my back office for 45 minutes. Found the person that processed
it incorrectly, they are now in the process of correcting it. Give me until 12 pm est, and I'll give you a
call to status, or I'll call you before then if it is resolved faster than that. I apologize for the
inconvenience, I tried to avoid this potential issue by getting ahead of it yesterday. I'll get it taken
care of, no worries.
Chad Markland
Senior Financial Consultant
movw triamontrado corn
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Member FINRA/SPONFA
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From: Richard Kahn 'bait°
Sent: Friday, May 31, 2019 9:54 AM
To: Markland, Chad W
Subject: Re: SF LLC
F—WRD000„ippl
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From: 867730320zIDate: 05/31/19 9:53 AMMessage available until 05/30/21.
A i see that only 3,000 of 3,000,000 quantity was transferred
please advise
thank you
rich
Richard Kahn
HBRK Associates Inc.
575 Lexington Avenue 4th Floor
New York, NY 10022
On Ma 0 2019 at 11:44 AM
> wro e:
Hey Rich,
I confirmed with my back office and transfers team, no issues so far with the DTC transfer request
submitted 05/29/19.1 also had them a note to clarify the quantity just to make sure, but per usual I
will keep an eye on it for you now that I'm in the office today and tomorrow. The expectation is that
they should get it moving this afternoon.
Feel free to let me know if you have any other questions around it. As a heads up, there is a tiny
amount of cash still in the account as well (from interest that posted the same day the wire of the
cash went out).
Thank you,
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Chad Markland
Senior Financial Consultant
Phone: (817) 490-2333
Fax: (866) 594-5256
E-mail. Shad MarklandOTDAmentrade roam
yoww tdarneritmde rem
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Member FINRA/SentelFA
This message is confidential and sent by TD AMERITRADE solely for use by the intended recipient. If
you are not the intended recipient,
you are hereby notified that any use, distribution or copying of this communication is strictly
prohibited. If you have received this electronic
transmission in error, please notify us by telephone at 800-669-3900 immediately. This should not
be deemed as an offer or solicitation,
to buy or sell any product. Any 3rd party information contained herein was prepared by sources
deemed reliable, but is not guaranteed.
TD AMERITRADE does not accept electronic instructions that would require an original signature.
Information received by or sent from TD
AMERITRADE is stored, subject to review, and may be produced to regulatory authorities or others
with a legal right to such.
From: Richard Kahn UnailtQJ
Sent: Wednesday, May 22, 2019 8:18 AM
To: Markland, Chad W
Cc: Jeanne Brennan
Subject: SF LLC
can you please look into 3,000,000 of Excela bond that never transferred to Schwab..
thank you
Richard Kahn
HBRK Associates Inc.
575 Lexington Avenue, 4th Floor
New York, NY 10022
tel 212-971-1306
fax 212-320-0381
cell 917-414-7584
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