Search for: "TD Ameritrade Inc "
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22 Jan 2024, 8:14 am
From October 2004 through April 2009, Felsenfeld was registered with TD Ameritrade, Inc.; following that, from September 2009 to October 2017, he was registered with H. [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]
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]
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]
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]
30 Sep 2022, 5:58 pm
In particular, he paid for the trades with funds in his TD Ameritrade account which were held in the U.S. [read post]
30 Sep 2022, 6:47 am
His former employers include TD Ameritrade, Inc. [read post]
21 Aug 2022, 12:45 pm
TD Ameritrade Clearing Inc., Defendant (Opinion and Order, SDNY)Three Members Of Miami Crew Charged With Defrauding Banks And Cryptocurrency Exchange Of More Than $4 Million (DOJ Release)California Man Charged With Using False Ide... [read post]
13 Aug 2022, 8:55 am
Bancorp Investments, Inc, Respondent (FINRA Arbitration Award)... [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]
22 Feb 2022, 12:09 pm
Ian Ha Infinity Financial Services AXA Advisors, LLC Ikea Huggins Narith Long NYLife Securities LLC Northwestern Mutual Investment Services, LLC Frank Mathis Fidelity Brokerage Services LLC TD Ameritrade, Inc. [read post]
24 Jan 2022, 2:01 pm
LPL Financial Corporation Juanita O’Neal TD Ameritrade, Inc. [read post]
27 Dec 2021, 9:38 am
Wells Fargo Clearing Services, LLC Frank Mathis Fidelity Brokerage Services LLCV TD Ameritrade, Inc. [read post]
6 Dec 2021, 9:58 am
LPL Financial Corporation Juanita O’Neal TD Ameritrade, Inc. [read post]
3 Nov 2021, 8:07 am
”According to his broker record, Seijas was reportedly affiliated with the following firms during his career in the securities industry, among others: 11/13/2013 – 03/06/2019, WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616), SHORT HILLS, NJ09/27/2013 – 11/20/2013, TD AMERITRADE, INC. [read post]
21 Oct 2021, 6:35 am
At a later point in the report, the SEC explained that the increase in individual account activity included accounts trading GameStop options; options trading, the SEC said, had been concentrated in three firms that accounted for 66 percent of such activity (the firms identified by the SEC are Robinhood, TD Ameritrade, and E*Trade Securities).The SEC made some general conclusions with respect to the role specific types of funds may have played in the January 2021 market volatility.… [read post]
3 Sep 2021, 3:00 am
(NYSE American: OGEN) Oragenics, Inc. [read post]
21 May 2021, 10:47 am
Robinhood was joined by other online brokers, including TD Ameritrade, Charles Schwab & Co, Inc, Interactive Brokers, LLC, Webull Financial, LLC, E*Trade Securities LLC, who all implemented trading restrictions on targeted securities. [read post]
