# EDGAR Filing Document

**Accession Number:** 0001139578
**File Stem:** 0001139578-23-000002
**Filing Date:** 2023-2
**Character Count:** 10064
**Document Hash:** d53124b2614c706ec700abacd51d8d8a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001139578-23-000002.hdr.sgml**: 20230315

**ACCESSION NUMBER**: 0001139578-23-000002

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230216

**DATE AS OF CHANGE**: 20230315

**EFFECTIVENESS DATE**: 20230226

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** HARBOR SERVICES GROUP INC /TA
- **CENTRAL INDEX KEY:** 0001139578
- **IRS NUMBER:** 341953399
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-05901
- **FILM NUMBER:** 23733808

**BUSINESS ADDRESS:**
- **STREET 1:** 111 SOUTH WACKER DRIVE
- **STREET 2:** 34TH FLOOR
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60606
- **BUSINESS PHONE:** 312-443-4400

**MAIL ADDRESS:**
- **STREET 1:** P O BOX 804660
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60680-4108

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BLADE TRANSFER INC                                      /TA
- **DATE OF NAME CHANGE:** 20010905

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** HARBOR SERVICES GROUP INC /TA

**FINS Number:** 082644

**Address of principal office where transfer agent activities are performed:** 111 South Wacker Drive, 34th Floor, Chicago, IL, 60606

**Is mailing address different from principal office address?:** Yes

**Mailing Address:** P O BOX 804660, Chicago, IL, 60606-4108

**Telephone Number:** 312-443-4400

**Does registrant conduct business in other locations?:** No

**Is registrant a self-transfer agent?:** No

**Does registrant engage a service company to perform any of its transfer agent functions?:** No

**Is registrant engaged as a service company by a named transfer agent?:** No

### Ownership and Control Information

**Registrant Type:** Corporation

**Does any other person control the management or policies of the applicant?:** Yes

- **Controlling Entity Name:** OCE US Holding Inc.

- **Agreement Description:** Holding company of Harbor Capital Advisors, Inc.

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name                   | Relationship Start Date   | Title or Status          | Ownership Code   | Control Person   |
|:---|:---|:---|:---|:---|
| Harbor Capital Advisors, Inc. | 04/02/2001                | Sole Shareholder         | E                | Yes              |
| Charles F. McCain             | 05/23/2007                | Director                 | NA               | Yes              |
| Lora A. Kmieciak              | 10/01/2022                | Chief Financial Officer  | NA               | Yes              |
| Erik D. Ojala                 | 10/01/2017                | Director and Secretary   | NA               | Yes              |
| Gregg M. Boland               | 09/01/2019                | President                | NA               | Yes              |
| Richard C. Sarhaddi           | 02/14/2023                | Chief Compliance Officer | NA               | Yes              |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** No

- **Found to have violated SRO rules or failed to supervise?:** No

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** No

- **Federal/State agency found a false statement or omission?:** No

- **Federal/State agency found a violation of investment-related regulations?:** No

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** No

- **Federal/State agency denied, suspended, or revoked registration?:** No

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** Yes

  - **Details #1:**

    - **Entity Name:** Boston Partners Securities, L.L.C. (Boston Partners) - CONTROL AFFILIATE

    - **Action Title:** Reporting of Transactions to the NSCC

    - **Action Date:** 04/16/2003

    - **Court/Body Name and Location:** National Association of Securities Dealers (NASD)

    - **Action Description:** NASD fined Robeco $3,000 relating to Municipal Securities Rulemaking Board (MSRB) Rules G-12 and G-14 pertaining to the reporting of transactions to the NSCC.

    - **Disposition:** Boston Partners paid the fine and filed a statement of corrective action which detailed the steps taken to prevent a reoccurrence of the matter.

  - **Details #2:**

    - **Entity Name:** Boston Partners Securities, L.L.C. (Boston Partners) - CONTROL AFFILIATE

    - **Action Title:** SEC Rule 15c3-1 Violation and NYSE Rule 325

    - **Action Date:** 12/20/2001

    - **Court/Body Name and Location:** New York Stock Exchange (NYSE)

    - **Action Description:** A former clearing division client of Boston Partners violated of its clearing agreement by engaging in improper and unauthorized trading, resulting in Boston Partners violating SEC and NYSE rules.

    - **Disposition:** Boston Partners has taken corrective action to correct the deficiency and prevent a reoccurrence of this matter. Boston Partners was censured and fined $50,000.

  - **Details #3:**

    - **Entity Name:** Boston Partners Securities, L.L.C. (Boston Partners) - CONTROL AFFILIATE

    - **Action Title:** Failure to submit complete audit trail data

    - **Action Date:** 12/01/1987

    - **Court/Body Name and Location:** New York Stock Exchange (NYSE)

    - **Action Description:** NYSE fined Boston Partners $1,000 for failure to submit complete audit trail data for the week of August 10, 1987, a violation of NYSE Rule 132.30.

    - **Disposition:** Boston Partners paid the fine and took corrective action to prevent a reoccurrence of this isolated incident.

  - **Details #4:**

    - **Entity Name:** Boston Partners Securities, L.L.C. (Boston Partners) - CONTROL AFFILIATE

    - **Action Title:** Violation of CBOE Rule 11.1 (90-0070)

    - **Action Date:** 10/05/1990

    - **Court/Body Name and Location:** Chicago Board of Options Exchange (CBOE)

    - **Action Description:** CBOE fined Boston Partners $500 for failure to submit an advice to CBOE indicating the intent of Boston Partner's customer to exercise a total of 26 S&P 100 Index option contracts.

    - **Disposition:** Boston Partners paid the fine without admitting or denying the alleged violation.

  - **Details #5:**

    - **Entity Name:** Boston Partners Securities, L.L.C. (Boston Partners) - CONTROL AFFILIATE

    - **Action Title:** Violation of NASD Rule 6230 and NASD 2110 (E1020030563-01)

    - **Action Date:** 08/16/2005

    - **Court/Body Name and Location:** NASD District 10

    - **Action Description:** NASD alleged that Boston Partners failed to make adequate and timely report through the NASD TRACE system.

    - **Disposition:** Boston Partners entered into a letter of acceptance, waiver and consent with the NASD, without admitting or denying the allegations or findings. Boston Partners was censured and fined $10,000.

  - **Details #6:**

    - **Entity Name:** Boston Partners Securities, L.L.C. (Boston Partners) - CONTROL AFFILIATE

    - **Action Title:** Violation of NYSE Rule 401 and NYSE Rule 342 (HPD 06-72)

    - **Action Date:** 07/03/2006

    - **Court/Body Name and Location:** New York Stock Exchange (NYSE)

    - **Action Description:** NYSE censured and fined Boston Partners $100,000 for paying compensation as a fee for business procured by Boston Partners, overcharging certain customers and for failure to supervise.

    - **Disposition:** Boston Partners consented to the findings without admitting or denying the alleged violation.

  - **Details #7:**

    - **Entity Name:** Boston Partners Securities, L.L.C. (Boston Partners) - CONTROL AFFILIATE

    - **Action Title:** Failure to Supervise (HPD 05-99)

    - **Action Date:** 12/29/2005

    - **Court/Body Name and Location:** New York Stock Exchange (NYSE)

    - **Action Description:** Failure to supervise trading floor business, maintain floor order tickets and reserve bank account level, obtain possession control of securities carried for accounts, et al.

    - **Disposition:** Boston Partners consented to the imposition by the NYSE of the penalty of a censure and a fine of $100,000.

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** Yes

  - **Details #1:**

    - **Entity Name:** ORIX Asset Management Corporation - CONTROL AFFILIATE

    - **Action Title:** Kinkan No. 1669

    - **Action Date:** 07/21/2006

    - **Court/Body Name and Location:** Japanese Financial Services Agency

    - **Action Description:** ORIX alleged to be not in compliance with its review system for properties invested by ORIX JREIT and with regulations regarding the manner of holding meetings.

    - **Disposition:** Business Improvement Order Issued.

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** No

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** Gregg M. Boland

**Title:** President

**Date:** 02/14/2023

**Phone Number:** 312-443-4515