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8 Apr 2010, 7:41 am
Oxford & Co., Banc of America Securities LLD and TD Ameritrade Inc., and law firm Gambrell & Russell. [read post]
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 Jan 2012, 3:13 pm
The other financial firms, ranking in the order that follows, are Charles Schwab, TD Ameritrade, Etrade, Fidelity Brokerage Services, WellsTrade (Wells Fargo), Merrill Edge/Bank of America, and Morgan Stanley Smith Barney LLC. [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]
18 Jan 2016, 11:56 am
RockYou Court Approves TD Ameritrade Data Breach Settlement — In re TD Ameritrade Starbucks Data Breach Plaintiffs Rebuffed by Ninth Circuit — Krottner v. [read post]
31 Jan 2014, 9:04 am
Each year, registered investment advisers need to document the testing of their continuity plan, as well as any updates to these plans, Les Abromovitz, a senior consultant at National Compliance Services Inc., said at a pre-conference session at TD Ameritrade Institutional’s national conference in Orlando on Wednesday. [read post]
24 Jan 2022, 2:01 pm
LPL Financial Corporation Juanita O’Neal TD Ameritrade, Inc. [read post]
6 Dec 2021, 9:58 am
LPL Financial Corporation Juanita O’Neal 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]
6 Aug 2015, 1:59 pm
TD Ameritrade Holding Corp., Civil Action No. 13-4149 (SDW) (MCA), 2014 WL 940703, at *6 (D.N.J. [read post]
2 Jun 2009, 6:31 pm
Others opposed to the proposed changes have noted the following additional points with regards to client protections already in place when an adviser uses a qualified custodian: The third party custodian already acts as a gatekeeper to the advisors ability to pull funds from client 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… [read post]
22 Jun 2011, 7:49 am
Image source: Apple 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]
11 Sep 2015, 9:50 am
TD Ameritrade Holding Corp., Civil Action No. 13-4149 (SDW) (MCA), 2014 WL 940703, at *6 (D.N.J. [read post]
1 Feb 2010, 6:36 am
Editor’s Note: Eduardo Gallardo is a partner focusing on mergers and acquisitions at Gibson, Dunn & Crutcher LLP. [read post]
