Search for: "TD Ameritrade"
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31 Oct 2012, 1:37 pm
Over Mortgage-Backed Bond Losses, Stockbroker Fraud Blog, October 30, 2012 Plaintiff Must Arbitrate Faulty Investment Advice Claim With TD Ameritrade But Can Proceed With Litigation Against Oakwood Capital Management, Stockbroker Fraud Blog, October 29, 2012 If SEC JOBS Act Rule 506 Proposal is Made Final, Legal Challenges Are Likely, Institutional Investor Securities Blog, October 27, 2012 [read post]
30 Oct 2012, 5:03 pm
Morgan Keegan, The Wall Street Journal, October 25, 2012 Ex-NBA star says fight with brokerage worse than facing Shaq, Reuters, October 15, 2012 More Blog Posts:Plaintiff Must Arbitrate Faulty Investment Advice Claim With TD Ameritrade But Can Proceed With Litigation Against Oakwood Capital Management, Stockbroker Fraud Blog, October 29, 2012 Morgan Stanley Must Pay CFTC $200K for Supervisory Violations, Sued for Bias by Detroit Owners Over New Century Loans, Stockbroker… [read post]
12 Oct 2020, 12:08 pm
This resulted in service outages not only at Robinhood but other brokerages such as Vanguard, Charles Schwab, TD Ameritrade, and Merrill Lynch[7]. [read post]
25 Aug 2017, 4:00 am
TD Ameritrade Solo 401(k) The TD Ameritrade Solo 401(k) offers full brokerage services and commission-free ETFs from Vanguard. [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 Jan 2014, 9:04 am
., said at a pre-conference session at TD Ameritrade Institutional’s national conference in Orlando on Wednesday. [read post]
10 Jan 2020, 11:00 pm
Research from TD Ameritrade shows that people would rather discuss sex, politics (and about everything else), before money and financial issues. [read post]
29 Oct 2009, 3:22 pm
The fourteen participating firms with their case limits in parentheses are: Ameriprise Financial Services (18), Charles Schwab (10), Chase Investment Services (10), Citigroup Global Markets (60), Edward Jones (18), Fidelity Brokerage Services (10), LPL Financial (10), Merrill Lynch (60), Morgan Stanley Smith Barney (60), Oppenheimer (15), Raymond James (15), TD Ameritrade (10), UBS Financial Services (60), Wells Fargo Advisors (60). [read post]
1 Jul 2021, 6:00 am
These are generally back-office functions and these companies, like Schwab, Fidelity, TD Ameritrade, and Interactive Brokers, typically disclaim away any responsibility to supervise for the suitability of the transactions at issue. [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]
29 Jun 2011, 6:47 am
South Carolina earned its first baseball national championship last year in the final game at legendary Rosenblatt Stadium (which I blogged about here) by defeating UCLA in the first two games of the final three-game series.This was the first year in the magnificent $130 million TD Ameritrade Stadium, and our team again made history by (1) repeating as national champions, which I believe only six teams have been able to do (the last being Oregon State about four or five… [read post]
15 Jul 2012, 9:31 pm
Circuit is at it again, expanding patents to abstract ideas despite Bilski and Prometheus reversals. http://t.co/F4c6i9eU 10:45:05, 2012-07-13 After the writedown: How Microsoft squandered its $6.3B buy of ad giant aQuantive | GeekWire http://t.co/jJos7JHU 08:30:10, 2012-07-13 Sun Valley Media Moguls Gain Footing With Emerging (Net) Models http://t.co/j8WMbgGE 17:55:02, 2012-07-12 FTC's Liebowitz Chief Sees 'Sweet Spot' For Section 5 Unfair Competition Cases http://t.co/5RuFX05D… [read post]
8 Jan 2010, 11:27 am
., Fidelity Investments and TD Ameritrade Holding Corp., among others, have built big businesses doing those things for independent advisers. [read post]
8 Apr 2010, 7:41 am
., Banc of America Securities LLD and TD Ameritrade Inc., and law firm Gambrell & Russell. [read post]
8 Mar 2012, 7:39 am
Joe Ricketts, the founder of TD Ameritrade, is an owner of the Chicago Cubs. [read post]
Investors Left Out of the Auction Rate Securities Regulatory Settlements Are Suing to Recover Losses
22 Jun 2009, 9:46 am
., and TD Ameritrade Holding Corp., which were among the biggest distributors of auction rate securities, according to the article. [read post]
3 Jun 2020, 12:28 pm
Many of these investors are now suing UBS and TD Ameritrade for investment fraud, alleging that they were not adequately informed of the risks involved with UBS’s ETRACS ETNs. [read post]
19 Dec 2011, 5:00 am
The parties who requested the study are the Investment Adviser Association, Certified Financial Planner Board of Standards, the Financial Planning Association, the National Association of Personal Financial Advisors and TD Ameritrade Institutional in commissioning the study.Given that the vast majority of investment adviser firms do not want FINRA as their regulator/examiner it should come as no surprise as to the results of the study. [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 Aug 2009, 8:12 am
Likewise, TD Ameritrade says it does not "actively sell" leveraged ETFs but they are available on its web platform. [read post]
