Search for: "TD Ameritrade Inc "
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15 Mar 2016, 8:55 am
TD Ameritrade Servs. [read post]
18 Jun 2010, 9:05 am
., pleaded guilty in October to one count of wire fraud and one count of obstruction of justice after confessing that he had clandestinely transferred $2.5 million from an account at Union Bank of California into an online stock brokerage account with TD Ameritrade Inc. [read post]
30 Oct 2009, 8:29 am
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 customer who thought they were investing in a real estate partnership. [read post]
3 Sep 2021, 3:00 am
(NYSE American: OGEN) Oragenics, Inc. [read post]
1 Jun 2009, 9:10 pm
Meantime, state officials are looking into whether TD Ameritrade Holding Corp., Charles Schwab Corp., and E*Trade Financial Corp also engaged in ARS-related violations. [read post]
31 Dec 2019, 8:53 am
TD Ameritrade Holding Corp., 773 F.3d 488 (3d Cir. 2014)). [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]
5 Nov 2014, 2:56 pm
– $60,000 TD Ameritrade – $100,800 UBS Financial Services – $56,400 Wedbush Securities 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]
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]
27 Dec 2021, 9:38 am
Wells Fargo Clearing Services, LLC Frank Mathis Fidelity Brokerage Services LLCV TD Ameritrade, Inc. [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]
TD Ameritrade Inc. Settles SEC Securities Fraud Charges Over Reserve Yield Plus Fund Shares for $10M
17 Feb 2011, 8:17 am
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]
23 Jan 2009, 10:36 am
Joe Ricketts, founded TD Ameritrade, has scored the winning bid with an offer of nearly $900 million. [read post]
16 Aug 2017, 8:27 am
Inc., Scottrade Inc., TD Ameritrade Inc., Fidelity Brokerage Services, E*Trade Securities, Edward D. [read post]
10 Mar 2014, 10:55 am
Respondent, TD Ameritrade, Inc. is liable for and shall pay to Claimant the sum of $61,732.00 in compensatory damages. 11-04271 Felix Bernard-Diaz BBVA Securities of Puerto Rico, Inc. [read post]
Investors Left Out of the Auction Rate Securities Regulatory Settlements Are Suing to Recover Losses
22 Jun 2009, 9:46 am
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. [read post]
20 Jun 2011, 5:58 pm
Morgan Stanley Smith Barney, Justia, June 14, 2011 More Blog Posts: MBIA Can Sue Morgan Stanley Over Alleged Misrepresentation of MBS Risks, Says US New York Supreme Court, Institutional Investor Securities Blog, June 14, 2011 Morgan Stanley & Co. and TD Ameritrade Inc. to Repurchase Over $338M in Auction Rate Securities from New Jersey Investors, Institutional Investor Securities Blog, May 4, 2011 Ex-Morgan Stanley Trader to Settle SEC Unauthorized Swaps Trading… [read post]
30 Oct 2012, 5:03 pm
Morgan Keegan is now part of Raymond James Financial Inc. [read post]
