Corporate Services

Joey and Tom have over 35 years of combined experience helping corporations, executives, board members, and affiliates achieve their goals. We have deep knowledge in implementing and executing the following:

Stock Repurchase plans: There are complex regulatory rules and guidelines that must be followed when executing repurchase plans. We have worked on 100s of these plans over the years and know specifically how to execute. We also have access to large shareholders to bid for blocks of stock.

10b5-1 plans: They are a great tool to buy or sell securities for insiders or repurchase plans. They allow you to set a designated plan (price, date, size, time, etc.) that, when correctly established and implemented, allows you to stay in the market during blackout or restricted periods. We have extensive experience overseeing the use of these plans.

Restricted Stock and 144: JWTT has experience working with transfer agents and corporate counsel, filing the correct paperwork to get restricted shares clean and ready to be sold. We also help in filling out 144 paperwork and Form 4.

Cashless Stock Option Exercise: We have worked with dozens of companies to help facilitate cashless stock option exercises for their employees. Please contact us if you are interested in exploring a cashless stock option exercise for your company.

Dividend Reinvestment: JWTT works with many corporations, transfer agents, and clearing houses to purchase stock in the open market to cover dividend reinvestment plans.

Stock Lending/Margin: Through our clearing firm, JWTT allows borrowing against stock through a control account, as long as it’s suitable for the client, specific conditions are complied with and the appropriate agreements are executed. Clients can potentially borrow against less liquid securities on a case- by-case basis. Margin involves significant risks and is not appropriate for all clients. See the Margin Disclosure Statement for important information about the basic facts and risks involved with margin.

15c2-11 Filings: We have filed 100s of 211 forms, getting companies a symbol and listed on the OTC markets. We know the process and application and have experience with FINRA to better expedite the application.