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24 Oct 2020, 5:00 am
In 2008, Kwasi Mensah Aggor joined TD Ameritrade Inc. as a General Securities Representative. [read post]
28 Mar 2023, 8:11 am
TD Bank of Toronto’s Settlement On February 27, 2023, TD Bank issued a press release that it had settled a lawsuit related to its handling of the Stanford Financial Group’s Ponzi scheme. [read post]
4 Feb 2011, 2:36 pm
The SEC alleged that TD Ameritrade’s representatives offered and sold the fund to its customers, mischaracterizing the mutual fund as a money market fund that was equivalent to cash, and an investment that had guaranteed liquidity. [read post]
11 Jan 2011, 8:33 am
As Judge Walker's previous order notes, the previous settlement terms proposed by TD Ameritrade principally required TD Ameritrade to: (1) post a warning regarding "stock spam" on its website; (2) retain an independent expert to audit its security practices; (3) retain a consultant to see if any of the lost data had been misused in an "organized" manner and inform any affected class members of this misuse; (4) give out a free one-year… [read post]
18 Jan 2012, 10:06 pm
Meantime, there are groups of investors that have filed their securities fraud cases against TD Bank over its involvement in Rothstein’s Texas Ponzi scam. [read post]
12 Mar 2015, 8:47 am
The Plaintiff brought a negligent security claim against both the TD Garden as well as their security vendor after he was assaulted in the men’s room by another fan. [read post]
6 Aug 2010, 11:50 am
“We expect to receive inquiries from investors who acquired the Reserve Yield Plus Fund as a result of TD Ameritrade’s misrepresentation of it as a money market fund,” said J. [read post]
3 Jan 2020, 4:27 am
featured in today's Securities Industry Commentator:Federal Court Troubled By FINRA Arbitration Chair's Non-Disclosure of Conflict (BrokeAndBroker.com Blog)FINRA Fines TD Ameritrade Over "Professional Customer" Coding For Option Orders. [read post]
22 May 2013, 8:30 am
James Lee of TD Bank Group, Technology Risk and Control Governance spoke about information technology security to some Toronto law librarians. [read post]
11 Jul 2008, 10:38 am
(UPDATED December, 2011) Finally, a little of TD Ameritrade’s money is going to a few of the class members it ripped off. [read post]
22 Dec 2014, 6:11 am
The Massachusetts settlement calls for a total payment of $825,000, but provides TD Bank with a $200,000 credit for TD Bank’s purchase and implementation of additional security measures following the incident. [read post]
22 Oct 2014, 8:52 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Frank Spinosa, a former regional vice president of TD Bank, has been charged for his involvement in jailed attorney Scott Rothstein’s $1.4 billion Ponzi scheme. [read post]
3 Jan 2020, 4:27 am
featured in today's Securities Industry Commentator:Former UVA Football Player Sentenced for $10 Million Fraud (DOJ Release)Longfin CEO Settles Fraud Action (SEC Release)UPDATE: Court Confirms UBS Promissory Notes Arbitration Citing Delays And Doctor's Note (BrokeAndBroker.com Blog)Antitrust suit against Schwab and TD Ameritrade merger draws 'stunt' accusations and judge agrees (RIABiz.com by Oisin Breen)... [read post]
1 May 2020, 6:22 am
Customer Sues TD Ameritrade For Failure to Investigate Fraudulent Debit Card Transactions (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5207/TD-Debit-Card-Liu/A federal civil Complaint alleges that TD Ameritrade failed to adequately investigate unauthorized transactions in a customer's account, and that the firm had deceptively asserted it had adequately investigated the fraud. [read post]
17 Dec 2013, 8:31 am
This step requires the organization to evaluate existing and implement additional administrative, technical and physical security controls to enhance or maintain the security of the organization’s IT infrastructure and the integrity and privacy of personal information. [read post]
5 May 2021, 9:25 am
Plaintiff, a customer, claimed that, by this conduct, TD Ameritrade, its parent, and its CEO violated Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. [read post]
21 Sep 2022, 12:37 pm
SEC says Oppenheimer, BNY Mellon Capital Markets, TD Securities (USA) and Jefferies LLC Failed to Comply with Municipal bond Offering Disclosure Requirements. [read post]
11 Jul 2019, 10:00 am
In this tax edition of the CALT Brief Podcast, Kristine discusses: Taxpayer First Act of 2019, H.R. 3151, signed into law July 1, 2019 President's 2020 Budget Proposal and JCT Analysis TD 9861, Final Regs Allowing Truncated Social Security Numbers on W-2s TD 9869, Final Regs Clarifying that Partners are not Employees when Partnership Owns Disregarded Entity Brown v. [read post]
17 Dec 2013, 8:31 am
On December 11, 2013, Ontario’s Information and Privacy Commissioner, Dr. [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]
