Search for: "TD Ameritrade"
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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]
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]
21 Nov 2019, 1:23 pm
Now, it’s seizing on the turmoil it unleashed to possibly acquire one of its biggest rivals, TD Ameritrade Holding Corp. [read post]
24 Oct 2020, 5:00 am
In 2008, Kwasi Mensah Aggor joined TD Ameritrade Inc. as a General Securities Representative. [read post]
19 Jun 2017, 12:35 pm
FINRA Fines TD Ameritrade, Inc. $30,000 for Compliance issues According to FINRA, TD Ameritrade, Inc. [read post]
4 Feb 2011, 2:36 pm
The SEC alleged that TD Ameritrade failed to establish adequate supervisory policies and procedures with respect to the sales of this fund. [read post]
18 Apr 2011, 8:31 pm
A, B, C, and D (not their real names) are all current or former members of TD Ameritrade’s InfoSec group. [read post]
25 Oct 2018, 4:30 pm
Originally posted on DataLossDB: The TD Ameritrade incident of 2007 hasn’t quite been resolved — yet. [read post]
18 Apr 2011, 8:31 pm
A, B, C, and D (not their real names) are all current or former members of TD Ameritrade’s InfoSec group. [read post]
18 Apr 2011, 8:31 pm
A, B, C, and D (not their real names) are all current or former members of TD Ameritrade’s InfoSec group. [read post]
25 Apr 2011, 7:34 am
On April 21 the New Jersey Division of Consumer Affairs, through its Bureau of Securities, announced that it signed final Consent Orders requiring Morgan Stanley and TD Ameritrade to repurchase auction-rate securities (ARS) from New Jersey clients to settle allegations... [read post]
11 Jan 2011, 8:33 am
[Post by Venkat Balasubramani] In re TD Ameritrade Accountholder Litigation, 07-2852 (N.D. [read post]
22 Feb 2018, 12:00 am
In TD Ameritrade Holding Corp., 2017 BL 422375 (Nov. 20, 2017), TD Ameritrade Holding Corporation (“Ameritrade”) asked the staff of the Securities and Exchange Commission (“SEC”) to permit omission of a proposal submitted by a group of shareholders (collectively, the “Shareholders”) requesting the board of directors to include a proposal in the proxy statement allowing shareholders of Ameritrade to be clients… [read post]
18 Sep 2017, 3:52 am
The other day I read "TD Ameritrade Closes Acquisition of Scottrade Financial Services, Inc. [read post]
6 Aug 2010, 11:50 am
But TD Ameritrade is apparently not talking. [read post]
19 Nov 2009, 3:09 am
E-Trade Financial shares surged late Wednesday after media reports fed speculation that rival online broker TD Ameritrade Holding could make a bid for the company. [read post]
13 Aug 2022, 8:55 am
A panel of three FINRA arbitrators found TD Ameritrade's management to have been grossly negligent and failing to use due diligence. [read post]
20 Jul 2009, 2:44 pm
TD Ameritrade said it may need until June 30, 2010 to complete the buybacks. [read post]
21 Oct 2011, 2:41 pm
TD Ameritrade finds that RIAs understandably are busy building their businesses. [read post]
3 Jul 2014, 10:57 am
TD Ameritrade’s PR flacks think this is bad advice on how to handle haters, I guess.Filed under: Settlement Component [read post]
