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1 Nov 2009, 8:58 pm
Legal Ramifications of the Chicago Cubs Filing for Bankruptcy The proposed sale to Joe Ricketts, founder of TD Ameritrade, will cost around $845 million and in addition to the ownership of the baseball team, this price tag also includes the rights to Wrigley Field as well as the Tribune’s twenty-five percent ownership of Comcast Sports Net Chicago. [21] The sale of the Chicago Cubs organization would “dispose of one of the Tribune’s principal assets… [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]
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]
26 Oct 2009, 7:04 pm
(AP) -- A federal judge has refused to approve a class-action settlement over contact information stolen from online brokerage TD Ameritrade Holding Corp.U.S. [read post]
14 Oct 2009, 8:08 am
To accomplish this, FINRA has expanded the program to include cases against the following 14 broker-dealers (from 11 broker-dealers): Chase Investment Services (10 cases); Oppenheimer & Co. (15 cases); Raymond James Financial Services/Raymond James & Associates (10 cases); Citigroup Global Markets (60 cases); Merrill Lynch (60 cases); Morgan Stanley Smith Barney (60 cases); UBS Financial Services (60 cases); Wells Fargo Advisors (60 cases); Ameriprise Financial Services (18 cases); Charles… [read post]
5 Oct 2009, 5:04 pm
The brokerage firms who have agreed to participate in the pilot program are: Ameriprise Financial Services Charles Schwab Chase Investment Services Citigroup Global Markets Edward Jones Fidelity Brokerage Services LPL Financial Merrill Lynch Morgan Stanley Smith Barney Oppenheimer Raymond James TD Ameritrade UBS Financial Services Wells Fargo Advisors / Wachovia Securities Each of the above firms has committed to participate in a limited number of cases under the program on a… [read post]
1 Oct 2009, 1:47 am
A new survey reveals that independent RIAs have seen their level of job satisfaction rise 10% and the number with an optimistic outlook for the U.S. economy has climbed by 25% over the past three months, according to a survey released by TD Ameritrade Institutional. [read post]
25 Sep 2009, 2:39 am
A federal bankruptcy court judge in Delaware on Thursday approved the Tribune Company's $845 million sale of the Chicago Cubs to the family of Joe Ricketts, the founder of the TD Ameritrade discount brokerage. [read post]
9 Sep 2009, 11:52 pm
THE SNOWJOB TD Ameritrade’s PR goons pulled is unraveling. [read post]
26 Aug 2009, 7:32 am
Target companies studied were Biogen, Yahoo, Motorola, Target, Wendy's and TD Ameritrade. [read post]
24 Aug 2009, 6:16 am
Pending approval by Major League Baseball and a federal bankruptcy judge, the Cubbies' new owner is the billionaire Ricketts family, who founded what is now the TD Ameritrade Holding Corp. online brokerage firm.Included in the sale is a 25 percent interest in Comcast Sportsnet Chicago and the ivy-covered Wrigley Field on Chicago's North Side. [read post]
20 Aug 2009, 11:39 am
Problematic in this regard is the recent buy-back at par by downstream actors such as TD Ameritrade and Fidelity Investments.This post has grown long - please excuse! [read post]
15 Aug 2009, 9:15 am
In July, the regulator ordered TD Ameritrade to repurchase $26.5 million of auction-rate securities. [read post]
11 Aug 2009, 10:06 am
In that connection, TD Ameritrade announced a settlement with the Securities and Exchange Commission agreeing to repurchase $465 million of auction rate securities from its clients. [read post]
7 Aug 2009, 2:22 pm
Since the collapse of Lehman Brothers last September, investors have withdrawn over $100 billion from traditional, full-service brokerage firms, and deposited $32.2 billion into the two largest online brokerage firms - TD Ameritrade and Charles Schwab. [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]
21 Jul 2009, 2:28 am
The retail brokerage firm TD Ameritrade agreed to repurchase $456 million in auction-rate securities from investors as part of a settlement with the S.E.C. and the New York attorney general's office. [read post]
20 Jul 2009, 2:44 pm
TD Ameritrade said it may need until June 30, 2010 to complete the buybacks. [read post]
20 Jul 2009, 12:31 pm
The SEC, NASAA and the New York AG each separately announced a settlement with TD Ameritrade regarding auction-rate securities (ARS). [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]
