Search for: "TD Ameritrade"
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30 Sep 2022, 5:58 pm
In particular, he paid for the trades with funds in his TD Ameritrade account which were held in the U.S. [read post]
30 Sep 2022, 6:47 am
His former employers include TD Ameritrade, Inc. [read post]
21 Aug 2022, 12:45 pm
TD Ameritrade Clearing Inc., Defendant (Opinion and Order, SDNY)Three Members Of Miami Crew Charged With Defrauding Banks And Cryptocurrency Exchange Of More Than $4 Million (DOJ Release)California Man Charged With Using False Ide... [read post]
13 Aug 2022, 8:55 am
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5 (BrokeAndBroker.com Blog)Federal Court Finds SEC Approval of FINRA Reporting Requirements "Arbitrary and Capricious" -- Cites Cost of FINRA Build-OutBloomberg L.P., Petitioner, v. [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]
13 Aug 2022, 8:55 am
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5 (BrokeAndBroker.com Blog)Platinum Partners Portfolio Manager Daniel Small Convicted of Defrauding Bondholders in a Multi-Million Dollar Scheme / Defendant Orchestrated a Rigged Vote Relating to $150 Million in Bonds (DOJ Release)Federal Court Grants UBS Petition to Dismiss Chapter 7 BankruptcyIn Re: Robert Earl Turner, Jr., Debtor (Opinion WDTX)U.S. [read post]
13 Aug 2022, 8:55 am
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5 (BrokeAndBroker.com Blog)SEC Charges 18 Defendants in International Scheme to Manipulate Stocks Using Hacked US Brokerage Accounts (SEC Release)SEC Obtains Final Judgment Against Broker Charged with Defrauding Customers (SEC Release)Platinum Partners Portfolio Manager Daniel Small Convicted of Defrauding Bondholders in a Multi-Million Dollar Scheme / Defendant Orchestrated a Rigged Vote Relating to… [read post]
18 Jul 2022, 4:06 am
(Capital & Main by Susan Antilla)Boom, boom, boom, Charles Schwab Corp. just spent $220 million to shuck three lawsuits -- a likely 'deck clearing' before the TD Ameritrade merger closes, say multiple analysts / A 2017 Scottrade class action suit inherited from TD Ameritrade, a robo-advice disclosure settlement, and TDA merger class action have all gone poof (RIABiz by Oisin Breen)Equitable Financial To Pay $50 Million Penalty To Settle SEC Charges… [read post]
9 May 2022, 1:50 pm
The banks contracted with TD Ameritrade for services related to the IDAs. [read post]
6 May 2022, 2:02 pm
TD Ameritrade, Inc.... [read post]
18 Mar 2022, 8:52 am
According to numerous reports, Massachusetts Secretary of the Commonwealth William Galvin is investigating whether TD Ameritrade, Merrill Lynch, LPL Financial, Ameriprise, Securities America and SoFi are harming their customers by refusing to raise interest rates paid in customers’ sweep accounts after the recent rate increase by the Federal Reserve. [read post]
22 Feb 2022, 12:09 pm
Ian Ha Infinity Financial Services AXA Advisors, LLC Ikea Huggins Narith Long NYLife Securities LLC Northwestern Mutual Investment Services, LLC Frank Mathis Fidelity Brokerage Services LLC TD Ameritrade, Inc. [read post]
24 Jan 2022, 2:01 pm
LPL Financial Corporation Juanita O’Neal TD Ameritrade, Inc. [read post]
11 Jan 2022, 2:03 pm
Going toe to toe with huge firms also means leveraging project management techniques and technology to maximize productivity, according to Luis Salazar of Salazar Law in Miami, whose clients include TD Ameritrade and Wells Fargo. [read post]
27 Dec 2021, 9:38 am
Wells Fargo Clearing Services, LLC Frank Mathis Fidelity Brokerage Services LLCV TD Ameritrade, Inc. [read post]
6 Dec 2021, 9:58 am
LPL Financial Corporation Juanita O’Neal TD Ameritrade, Inc. [read post]
26 Nov 2021, 1:13 pm
Continue Reading › The post Investor Pursues $500K GPB Capital Claim Against TD Ameritrade appeared first on Investor Lawyers Blog. [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 Oct 2021, 11:44 am
The customer blames TD Ameritrade. [read post]
23 Oct 2021, 6:32 am
And folks wonder why there's so much litigation on Wall Street.Stipulated Arbitration Award Ends TD Ameritrade Solicitation Dispute (BrokeAndBroker.... [read post]
