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27 Aug 2009, 12:23 am
There were insufficient funds in her account to clear the cheque, so the advisor proceeded to start liquidating the client’s securities and transferring the proceeds to her savings account. [read post]
13 Sep 2010, 12:15 pm
In this case, the applicants needed the ability to travel at a moment’s notice due to an ailing relative. [read post]
10 Nov 2020, 8:55 pm
The updated Q&As on the TD contains an updated question 26 covering choice of TD home Member State after the end of the UK’s transition period for leaving the EU. [read post]
7 Nov 2022, 2:30 am
The Gensler SEC's Rulemaking Reach Exceeds Its Grasp (BrokeAndBroker.com Blog)TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation (BrokeAndBroker.com Blog)United States Supreme Court: SECURITIES AND EXCHANGE COMMISSION V. [read post]
24 Oct 2022, 3:44 am
Accessing FINRA Test Center Launch Codes With Colonel Mustard (BrokeAndBroker.com Blog)The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration(BrokeAndBroker.com Blog)DOJ RELEASESFormer Credit Union employee who repeatedly stole from elderly woman’s account sentenced to a year in prison / Over three years he stole more than $129,000 for his… [read post]
7 Nov 2022, 2:30 am
FINRA Arbitrators Slam Losing Respondents with Hearing Fees in Breach of Contract Dispute (BrokeAndBroker.com Blog)TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation (BrokeAndBroker.com Blog)The Gensler SEC's Rulemaking Reach Exceeds Its Grasp (BrokeAndBroker.com Blog)United States Supreme Court: SECURITIES AND EXCHANGE COMMISSION V. [read post]
11 Jul 2008, 10:38 am
TD Ameritrade pump-n-dump spam and Identity Theft litigation. [read post]
29 Jan 2020, 12:15 pm
The post Beware of Investment Advisor “Recommendations” from Securities Firms that Specialize in “Self Directed” Trading Accounts. appeared first on Securities Fraud Attorney Blog. [read post]
13 Aug 2022, 8:55 am
Securities and Exchange Commission, Respondent / Financial Industry Regulatory Authority, Intervenor (Opinion, United States Court of Appeals for the District of Columbia Circuit, No. 21-1088 / August 16, 2022)SEC Charges Three Chicago-Area Residents with Insider Trading Around Equifax Data Breach Announcement (SEC Release)SEC Sues Three Entities and Their Founder for Unregistered Crypto Asset Securities Offerings (SEC Release)SEC Charges 18 Defendants in International Scheme to… [read post]
18 Apr 2011, 8:44 pm
I’ve been following TD Ameritrads’s […] [read post]
18 Apr 2011, 8:44 pm
I’ve been following TD Ameritrads’s […] [read post]
18 Apr 2011, 8:44 pm
I’ve been following TD Ameritrads’s [...] [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 of the company or to have… [read post]
28 Jan 2021, 2:07 pm
The Quick Version Robinhood, TD Ameritrade, and other online platforms have prevented retail investors from entering buy orders in Gamestop, AMC, Nokia, Blackberry, and other securities. [read post]
26 Aug 2008, 5:42 pm
Cuomo has subpoenaed Charles Schwab, Fidelity, E*Trade Financial, TD Ameritrade, Oppenheimer & Co., and other ‘downstream' brokerages that sold the securities to clients even if they did not underwrite them. [read post]
3 Oct 2022, 3:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6695/securities-industry-commentator/The Disappearing Act of Elder Abuse in a TD Ameritrade FINRA Arbitration (BrokeAndBroker.com Blog)SEC Four-Year Strategic Plan Is Generic, Non-Specific, Drivel (BrokeAndBroker.com Blog)The IPO Bust Blew a $575 Million Hole in Law Firm Revenue (Bloomberg Law by Roy Strom)Wall Street Regulator… [read post]
24 Oct 2022, 3:44 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6731/securities-industry-commentator/FINRA Taxonomy News Release Isn't Newsworthy (BrokeAndBroker.com Blog)Accessing FINRA Test Center Launch Codes With Colonel Mustard (BrokeAndBroker.com Blog)The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD… [read post]
14 Sep 2022, 11:59 am
The SEC found that TD, BNY Mellon, and Jefferies each violated Rule 15c2-12, as well as MSRB Rule G-27 and 1934 Act Section 15B(c)(1).The SEC determined that TD, BNY Mellon, and Jefferies, while serving as sole underwriter for certain limited offerings, sold securities to broker-dealers and certain investment advisers without a reasonable belief that the broker-dealers and investment advisers were purchasing the securities for investment. [read post]
2 Oct 2019, 2:15 pm
Charles Schwab, TD Ameritrade and E-Trade have all announced zero commissions for stock and EFT trades.While commissions have been driven down dramatically over the years, it is difficult to believe that these online brokers are actually going to lose money every time a customer buys or sells a security. [read post]
9 Sep 2009, 11:52 pm
THE SNOWJOB TD Ameritrade’s PR goons pulled is unraveling. [read post]
