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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 post Finra fines TD Ameritrade 500,000 for disclosures on callable securities appeared first on Stoltmann Law. [read post]
19 Dec 2022, 3:25 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6816/securities-industry-commentator/TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out (BrokeAndBroker.com Blog)FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies… [read post]
19 Dec 2022, 3:25 am
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out (BrokeAndBroker.com Blog)FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of Auto… [read post]
19 Dec 2022, 3:25 am
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out (BrokeAndBroker.com Blog)FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of Auto… [read post]
19 Dec 2022, 3:25 am
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6805/td-ameritrade-margin/Far too many brokerage customers believe that they are entitled to an extension of time on a margin call. [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
Why didn't TD Ameritrade just settle the damn lawsuit and be done with it? [read post]
7 Nov 2022, 2:30 am
FINRA Arbitrators Slam Losing Respondents with Hearing Fees in Breach of Contract Dispute (BrokeAndBroker.com Blog)TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation (BrokeAndBroker.com Blog)The Gensler SEC's Rulemaking Reach Exceeds Its Grasp (BrokeAndBroker.com Blog)United States Supreme Court: SECURITIES AND EXCHANGE COMMISSION V. [read post]
7 Nov 2022, 2:30 am
TD Ameritrade Loses FINRA Customer Arbitrat... [read post]
24 Oct 2022, 3:44 am
Accessing FINRA Test Center Launch Codes With Colonel Mustard (BrokeAndBroker.com Blog)The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration(BrokeAndBroker.com Blog)DOJ RELEASESFormer Credit Union employee who repeatedly stole from elderly woman’s account sentenced to a year in prison / Over three years he stole more than $129,000 for his… [read post]
24 Oct 2022, 3:44 am
Accessing FINRA Test Center Launch Codes With Colonel Mustard (BrokeAndBroker.com Blog)The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration(BrokeAndBroker.com Blog)DOJ RELEASESFormer Credit Union employee who repeatedly stole from elderly woman’s account sentenced to a year in prison / Over three years he stole more than $129,000 for his… [read post]
24 Oct 2022, 3:44 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6731/securities-industry-commentator/FINRA Taxonomy News Release Isn't Newsworthy (BrokeAndBroker.com Blog)Accessing FINRA Test Center Launch Codes With Colonel Mustard (BrokeAndBroker.com Blog)The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD… [read post]
24 Oct 2022, 3:44 am
TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration(BrokeAndBroker.com Blog)DOJ RELEASESFormer Raleigh Investment Advisor Found Guilty in Healthcare Fraud that Targeted the Elderly and Disabled (DOJ Release)Sarasota Man Sentenced To 23 Years In Federal Prison For Running $80 Million "Oasis" FOREX Ponzi Scheme (DOJ Release)Chesterfield Man Convicted in Scheme to Embezzle Funds in Law Firm Trust Account (DOJ Release)... [read post]
24 Oct 2022, 3:44 am
The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration(BrokeAndBroker.com Blog)DOJ RELEASESThree Men Convicted of $1 Million 'Upfront-Fee' Scheme (DOJ Release)Former Raleigh Investment Advisor Found Guilty in Healthcare Fraud that Targeted the Elderly and Disabled (DOJ Release)Sarasota Man Sentenced To 23 Years In Federal Prison For… [read post]
24 Oct 2022, 3:44 am
In today's blog we cover a recent FINRA Arbitration Award involving a TD Ameritrade representative, who told a customer something about another, unnamed licensed broker; and in the telling of that something to the customer, there was reference to a Buy Order that would be priced at the time of its placement but for the fact that the intended order was blocked because of a wrong address; and, notwithstanding the blocked order, the representative told the customer that the other… [read post]
3 Oct 2022, 3:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6695/securities-industry-commentator/The Disappearing Act of Elder Abuse in a TD Ameritrade FINRA Arbitration (BrokeAndBroker.com Blog)SEC Four-Year Strategic Plan Is Generic, Non-Specific, Drivel (BrokeAndBroker.com Blog)The IPO Bust Blew a $575 Million Hole in Law Firm Revenue (Bloomberg Law by Roy Strom)Wall Street Regulator… [read post]
3 Oct 2022, 3:27 am
The Disappearing Act of Elder Abuse in a TD Ameritrade FINRA Arbitration (BrokeAndBroker.com Blog)SEC Four-Year Strategic Plan Is Generic, Non-Specific, Drivel (BrokeAndBroker.com Blog)The IPO Bust Blew a $575 Million Hole in Law Firm Revenue (Bloomberg Law by Roy Strom)Wall Street Regulator Eliminates Cap on Fines for Rule-Breakers (Barron's by Kenneth Corbin)DOJ RELEASES... [read post]
