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TD Ameritrade Inc. Settles SEC Securities Fraud Charges Over Reserve Yield Plus Fund Shares for $10M
17 Feb 2011, 8:17 am
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]
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]
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]
8 Apr 2010, 7:41 am
Oxford & Co., Banc of America Securities LLD and TD Ameritrade Inc., and law firm Gambrell & Russell. [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]
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]
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]
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]
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]
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]
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]
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]
26 Aug 2008, 5:42 pm
Cuomo has subpoenaed Charles Schwab, Fidelity, E*Trade Financial, TD Ameritrade, Oppenheimer & Co., and other ‘downstream' brokerages that sold the securities to clients even if they did not underwrite them. [read post]
24 Jul 2008, 7:48 pm
TD Ameritrade, Inc. v. [read post]
