Search for: "TD Ameritrade Inc"
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9 Jun 2023, 12:05 pm
The Financial Industry Regulatory Authority Inc. on Thursday fined TD Ameritrade Clearing Inc. $500,000 for failing to disclose fully information about callable securities, including exchange-traded notes and preferred securities, to millions of customers over five years, according to Finra. [read post]
19 Jun 2017, 12:35 pm
FINRA Fines TD Ameritrade, Inc. $30,000 for Compliance issues According to FINRA, TD Ameritrade, Inc. [read post]
26 Sep 2018, 1:06 am
The US Securities and Exchange Commission is ordering TD Ameritrade Inc. [read post]
3 Feb 2011, 1:01 pm
The SEC charged TD Ameritrade Inc. for failing to reasonably supervise its registered representatives, some of whom misled customers when selling shares of the Reserve Yield Plus Fund, a mutual fund that "broke the buck" in September 2008. [read post]
24 Oct 2020, 5:00 am
In 2008, Kwasi Mensah Aggor joined TD Ameritrade Inc. as a General Securities Representative. [read post]
4 Feb 2011, 2:36 pm
TD Ameritrade recently agreed to $10 million to settle SEC charges that it failed to supervise its registered representatives, some of whom mislead customers when selling shares of the Reserve Yield Plus Fund, a mutual fund that fell below a net asset value of $1.00 in September 2008, after the Federal Reserve wrote down the fund investments in commercial paper issued by Lehman Brothers Holdings, Inc. [read post]
18 Sep 2017, 3:52 am
The other day I read "TD Ameritrade Closes Acquisition of Scottrade Financial Services, Inc. [read post]
20 Jul 2009, 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 Cuomo, the SEC, and Pennsylvania regulators. [read post]
4 May 2011, 7:40 pm
(MS) and TD Ameritrade Inc. [read post]
14 May 2019, 12:00 am
TD Ameritrade, Inc. 889 F.3d 920 (8th Cir. [read post]
3 Nov 2009, 10:00 am
The 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. [read post]
29 Jun 2023, 7:46 pm
FINRA Fines TD Ameritrade $500K for Making Omissions To Millions of Customers The Financial Industry Regulatory Authority (FINRA) announced that it has fined TD Ameritrade Clearing Inc. $500K for its failure to fully disclose information about callable securities (including preferred securities and exchange-traded notes) to millions of customers over a period of five years. [read post]
3 Jan 2020, 4:27 am
In the Matter of TD Ameritrade, Inc., Respondent (FINRA AWC)FINRA Fines and Suspends Rep Over Allowing Unregistered Rep to Use His Code and In Mis-use of Currency Transactions Reports ("CTRs"). [read post]
9 May 2022, 1:50 pm
The case is Matter of TD Ameritrade, Inc., DTA No. 829523 (Apr. 28, 2022). [read post]
6 May 2022, 2:02 pm
TD Ameritrade, Inc.... [read post]
24 Jul 2008, 7:48 pm
TD Ameritrade, Inc. v. [read post]
7 Aug 2023, 4:51 am
TD Ameritrade, Inc., et al., Defendants (Opinion United States District Court for the Western District of Michigan) DOJ x SEC x CFTC x ... [read post]
9 Oct 2015, 5:00 am
TD Ameritrade, Inc., October 8, 2015, Sutton, J.). [read post]
7 Nov 2022, 2:30 am
The Gensler SEC's Rulemaking Reach Exceeds Its Grasp (BrokeAndBroker.com Blog)TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation (BrokeAndBroker.com Blog)United States Supreme Court: SECURITIES AND EXCHANGE COMMISSION V. [read post]
7 Nov 2022, 2:30 am
COCHRAN (Oral Argument)United States Supreme Court: AXON ENTERPRISE, INC. [read post]
