Search for: "TD Ameritrade, Inc."
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20 Jul 2:44 pm
According to a July 20, 2009 article in the Wall Street Journal, TD Ameritrade Inc. agreed to buy back $456 million of auction
rate securities from its clients as part of a settlement with NY Attorney General Andrew ... that are still held by customers and will also reimburse eligible investors who sold their
securities at a discount after the market failed. TD Ameritrade also consented to a special arbitration process to resolve claims of
damages suffered by eligible investors as a result of being ...
10 Nov 1:18 am
... counsel, it ultimately provided the plaintiffs themselves with no real benefits. The case is the In re TD Ameritrade Accountholder
Litigation, N.D. Cal. C-07-2852, a class ... s counsel, the data breach gave hackers "sensitive data of six million Ameritrade clients, including social security numbers, birth
data, account numbers, phone ... rewards of litigation" (citing Protective Committee for Independent Stockholders of TMT Trailer Ferry Inc. v. Anderson, 390 US 414, 424-25
(1968). The relevant standard ...
3 Nov 10:00 am
... District Court for the Northern District of California rejected a proposed settlement in a class action data breach case against TD
Ameritrade Inc., stating that the settlement provided no value to the class. (In re TD Ameritrade Accountholder Litig., N.
... , and that the data security software that would be provided to the victims was available at no charge online already. TD Ameritrade
suffered a data breach in 2007 where the personal date of approximately 6 million customers was hacked into. The ...
24 Jul, 2008 7:48 pm
TD Ameritrade, Inc. v. McLaughlin, C.A. 3603-CC (July 24, 2008) This decision set out in detail when the Court of Chancery may
set aside an arbirtation award. Not surprisingly, the answer is not very often. The only part of the award set aside was due to an obvious math error. The Court upheld the rest of the
award even against an attack that the award was manifestly contrary to law. The analysis of how to determine if the award is contrary to law is particularly instructive.
22 May, 2008 6:28 am
... 7, 2008 Affinity Technology Group, Inc. press release published at Business Wire: Affinity Technology Group, Inc. (OTCBB: AFFI) today announced that the United States
Court of Appeals for the Federal Circuit (the "Appeals Court") has published its opinion in the cases of its subsidiary, decisioning.com versus Federated Department Stores,
TD Ameritrade and HSBC Finance Corporation. The principal issues decided by the Appeals Court involved the definition of certain ...
29 Dec, 2007 3:41 am
... 2007 Security Hall of Shame A brace of breaches: 2007's five worst In a league of its own: The TJX Companies Inc. The U.K.'s VA: HMRC misplaces records on 25 million kids In
November The system was broken brokered: Fidelity National Information Services Some honor among thieves: TD Ameritrade Holding Corp.
Brokerage firm Ameritrade Creatures from the hack lagoon: Monster.com Ummm ... oops? Notable meltdowns Do you copy?: DHS's self-created DDoS attack Bag that: Supervalu gets
phished ...
1 Jun 9:10 pm
... individual enforcement against brokerage and investment banking firm Stifel, Nicolaus, & Co. Inc. On May 7, Virginia's State Corporation Commission's 's Division of ...
that bought $400 million in ARS. Meantime, state officials are looking into whether TD Ameritrade Holding Corp., Charles Schwab Corp.,
and E*Trade Financial Corp also ... federal and state regulators over their misrepresentation of ARS to clients include Citigroup Inc., Deutsche Bank AG, Credit Suisse Group, JP
Morgan Chase & Co ...
22 Jun 9:46 am
... purchased auction rate securities from "downstream" broker-dealers who sold but did not underwrite auction rate securities. The firms include Raymond James Financial Inc.,
Oppenheimer Holdings Inc., E*Trade Financial Corp., and TD Ameritrade Holding Corp., which were among the biggest distributors of
auction rate securities, according to the article. These downstream firms generally say they do not have the capital to repurchase the ...
26 Aug, 2008 5:42 pm
... General Andrew M. Cuomo has subpoenaed Charles Schwab, Fidelity, E*Trade Financial, TD Ameritrade, Oppenheimer & Co., and other
'downstream' brokerages that sold the securities to ... to repay clients back at par illiquid the way financial services firms, such as Citigroup Inc., Morgan Stanley, Wachovia
Corp, JP Morgan Chase and Co, UBS AG, and Goldman Sachs Group Inc., are now required to do, so per their settlements with federal and state regulators. The RBDA says downstream
brokerages did not ...
30 Dec, 2007 1:14 pm
... of Fidelity National Information Services says information on 8.5 million consumers was stolen, allegedly by a former employee. Online brokerage TD Ameritrade Holding Corp. said one of its databases was hacked and contact information for its more than 6.3 million customers was stolen. The online
job site Monster Worldwide Inc. discovered that con artists had grabbed contact information from resumes of 1.3 million people. Source: Associated Press research
23 Jan 10:36 am
... our favorite Cubbie of all time.) The Ricketts family, whose patriarch, J. Joe Ricketts, founded TD Ameritrade, has scored the
winning bid with an offer of nearly $900 million. If the deal wins approval from Major League Baseball, and if the family can close during the next 60- ... the Cubs - as well as a
lawsuit. Yesterday, the Cubs sued athletic apparel maker Under Armour, Inc. for breach of contract and promissory estoppel over a marketing agreement gone awry. (LB NB: We ...
2 Jun 6:31 pm
... the prior quarter. With regards to the suggestion for greater disclosure, Warren Mackensen, founder of Mackensen & Company, Inc., strongly encourages the SEC to implement
the following additional four (4) client protection controls for advisers who debit ... accounts, making it virtually impossible for a an advisor using a major third party custodian,
such as Charles Schwab, TD Ameritrade, Fidelity, etc.) to 'drain the account' through fees, as they will not process withdrawals that
exceed a ...
30 Oct 8:29 am
... by the Financial Industry Regulatory Authority (FINRA) in October 2009: Kevin Michael Browne formerly of Regal Securities, Inc. in Dillon, California, was suspended from
association with any FINRA member in any capacity for one year for allegedly defrauding ... on client forms without their authorization and consent. Michael Alfred Thome of Folsom,
California, a former broker with TD Ameritrade, was ordered to pay $402,137.50 plus interest as restitution for the misappropriation of
funds from a ...
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