X0405 TA-1/A 0001455353 XXXXXXXX 084-06347 LIVE SEC West Coast Stock Transfer Inc. 339846 721 N. Vulcan Ave. Ste. 106 Encinitas CA 92024 N 619-664-4783 N N N Y New Horizon Transfer Inc. 084-06283 215-515 West Pender Street Vancouver A1 V6B 6H5 Mountain Share Transfer, LLC 084-05790 2030 Powers Ferry Road Atlanta GA 30339 Globex Transfer, LLC 084-06307 780 Deltona Blvd. Ste. 202 Deltona FL 32725 TWO12 STOCK TRANSFER LLC 084-06816 114 SWIFTCURRENT TRAIL AUSTIN TX 78746 Corporation FRANK EDWARD BRICKELL 01/23/2009 PRESIDENT AND DIRECTOR E true RODNEY PRESTON MICHEL 01/23/2009 SECRETARY AND DIRECTOR NA true 12/31/2014 JASON TROY ADAMS 01/23/2009 DIRECTOR NA true 12/31/2012 MICHAEL EDWARD TOBLER 10/28/2019 SECRETARY AND DIRECTOR NA true N N N N N N N N N N N N N N Y FRANK EDWARD BRICKELL Order of Revocation 04/07/2014 State of Illinois Based on the FINRA AWC File No. 2010022543701 (described in 10(e)), the State of Illinois initiated proceeds to revoke registration even though action did not involve the State of Illinois or its residents. The action was not challenged due to the time and monetary burden and the order has become final N N Y FRANK EDWARD BRICKELL Complaint 03/31/2008 Financial Industry Regulatory Authority (FINRA) - Self Regulatory Organizatio FINRA's Department of Enforcement is alleging that activities of three clients of World Trade Financial Corporation violated section 5 of the securities act and Frank Edward Brickell, as the registered representative, violated Conduct Rule 2110 by selling unregistered stock without an applicable exemption from registration. The shares deposited with the registered representative did not contain any restrictions on resale or transfer according to the transfer agent who was in possession of a legal opinion addressing the available of an exemption to registration. Enforcement has argued that the representative and the firm had a heighted responsibility to conduct a further inquiry as to the resale of these shares. The case also involves additional broker dealers, registered representatives, and shareholders who are claimed to have participated in an unregistered distribution. The shareholders and the issuer's officers appear to have knowingly orchestrated a distribution. World Trade Financial Corporation, its supervisors, and the registered representative did not knowingly participate in the alleged distribution. At the commencement of the hearing it was argued that distribution did occur, but there was lack of evidence that an illegal distribution occurred. The underlying premise is whether World Trade Financial Corporation had a heightened responsibility to conduct further inquires concerning the resale of the securities. The decision is final. FRANK EDWARD BRICKELL Acceptance, Waiver and Consent 03/08/2013 Financial Industry Regulatory Authority (FINRA) - Self Regulatory Organization On behalf of a certain customer, World Trade Financial Corporation received and sold securities to the public in over-the-counter transactions without the benefit of registration or a valid exemption to registration pursuant to Section 5 of the Securities Act of 1933, in violation of FINRA Rule 2010 Letter of Acceptance, Waiver and Consent RODNEY PRESTON MICHEL Complaint 03/31/2008 Financial Industry Regulatory Authority (FINRA) - Self Regulatory Organization FINRA's Department of Enforcement is alleging that Rodney Preston Michel failed to supervise a registered representative who unknowingly may have participated in the sale of unregistered securities. The clients of a registered representative deposited stock certificates that did not contain any restrictions on resale or transfer according to the transfer agent. The registered representative was in possession of a legal opinion addressing the origin and resale of the issuer's shares. Enforcement believes that our policies and procedures were not adequate to detect and monitor the sale of unregistered stock received into the firm. The decision is final. RODNEY PRESTON MICHEL Acceptance, Waiver and Consent 03/08/2013 Financial Industry Regulatory Authority (FINRA) - Self Regulatory Organization On behalf of a certain customer, World Trade Financial Corporation received and sold securities to the public in over-the-counter transactions without the benefit of registration or a valid exemption to registration pursuant to Section 5 of the Securities Act of 1933, in violation of FINRA Rule 2010. Letter of Acceptance, Waiver and Consent JASON TROY ADAMS Complaint 03/31/2008 Financial Industry Regulatory Authority (FINRA) - Self Regulatory Organization FINRA's Department of Enforcement is alleging that Jason Troy Adams failed to supervise a registered representative who unknowingly may have participated in the sale of unregistered securities. The clients of a registered representative deposited stock certificates that did not contain any restrictions on resale or transfer according to the transfer agent. The registered representative was in possession of a legal opinion addressing the origin and resale of the issuer's shares. Enforcement believes that our policies and procedures were not adequate to detect and monitor the sale of unregistered stock received into the firm. The decision is final. N N N N N N FRANK EDWARD BRICKELL 619-664-4783 PRESIDENT 12/30/2021