Search for: "TD Ameritrade Inc "
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10 May 2021, 7:09 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]
5 May 2021, 9:25 am
” Defendant TD Ameritrade, Inc. [read post]
24 Oct 2020, 5:00 am
In 2008, Kwasi Mensah Aggor joined TD Ameritrade Inc. as a General Securities Representative. [read post]
23 Oct 2020, 8:03 am
According to FINRA Disciplinary actions for October 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Jeffrey Allen Wells Fargo Clearing Services, LLC Wells Fargo Advisors Christopher Canorro TD Ameritrade, Inc. [read post]
21 May 2020, 7:12 am
Murray, Robert SW Financial Joseph Stone Capital LLC Oplinger, Todd IFS Securities Ridgeway & Conger, Inc Rangel, Jesse TD Ameritrade, Inc Morgan Stanley Stokes, Dain LPL Financial LLC Edward Jones Thrush, Steven Summit Brokerage Services, Inc Cambridge Investment Research, Inc Washington, Robert FINRA makes this information… [read post]
10 Apr 2020, 4:20 am
Grubhub (a/d/b/a Seamless), Doordash Inc., Postmates Inc., and Uber Technologies, Inc., (in its own right and as parent of wholly owned subsidiary Uber Eats), Defendants (Class Action Complaint)Texas Court of Appeals Reverses $3 Million TD Ameritrade Customer Victory (BrokeAndBroker.com Blog)Statement of Chairman Heath P. [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]
31 Dec 2019, 8:53 am
TD Ameritrade Holding Corp., 773 F.3d 488 (3d Cir. 2014)). [read post]
26 Nov 2019, 7:44 am
According to FINRA Disciplinary actions for November 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ajayi, Emmanuel JP Morgan Securites LLC HSBC Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services … [read post]
14 May 2019, 12:00 am
TD Ameritrade, Inc. 889 F.3d 920 (8th Cir. [read post]
26 Sep 2018, 1:06 am
The US Securities and Exchange Commission is ordering TD Ameritrade Inc. [read post]
28 Aug 2018, 11:20 am
Morgan Securities LLC Alexander Kibrik Garden State Securities, Inc Radnor Research & Trading Company LLC James Polese Morgan Stanley UBS Financial Services Inc Leslie Slaughter Waddell & Reed TD Ameritrade, Inc Kenneth Tyrrell Cary Street Partners UBS Financial Services Inc Silver Law Group represents investors in securities and investment fraud cases… [read post]
9 Jul 2018, 12:43 pm
According to FINRA Disciplinary actions for June 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Donald Nelson Bower III Edward Jones Invest Financial Corp Christopher Masharn Bruce Statefarm VP Management Corp Chris Bruce Insurance Agency … [read post]
13 Mar 2018, 11:32 am
Farah allegedly suggested that LN also open a brokerage account with TD Ameritrade. [read post]
18 Sep 2017, 3:52 am
The other day I read "TD Ameritrade Closes Acquisition of Scottrade Financial Services, Inc. [read post]
16 Aug 2017, 8:27 am
Inc., Scottrade Inc., TD Ameritrade Inc., Fidelity Brokerage Services, E*Trade Securities, Edward D. [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 Aug 2016, 9:09 am
FINRA further alleges that while Ariola was registered with BMF, he obtained access to a former BMF customer’s TD Ameritrade retirement account and engaged in securities trading in that account on the customer’s behalf without providing the required written notice of such outside brokerage account to his employing firm, BFM, or of his registered status with BMF to TD Ameritrade. [read post]
3 Aug 2016, 10:32 am
TD Ameritrade Servs. [read post]
25 Jul 2016, 8:39 am
TD Ameritrade Services Company, Inc. demonstrates how broadcasters that publish ads containing pop culture references can run afoul of trademark rights and other legal issues. [read post]
