Search for: "TD Ameritrade"
Results 61 - 80
of 299
Sort by Relevance
|
Sort by Date
23 Oct 2020, 8:03 am
According to FINRA Disciplinary actions for October 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Jeffrey Allen Wells Fargo Clearing Services, LLC Wells Fargo Advisors Christopher Canorro TD Ameritrade, Inc. [read post]
23 Oct 2020, 3:31 am
DC Circuit Court Sustains SEC Orders Against Thaddeus North (BrokeAndBroker.com Blog)Charles Schwab to lay off 1,000 workers following merger with TD Ameritrade (CNBC Release by Maggie Fitzgerald)Holistic Wellness Business Founder Charged In Ponzi Scheme / Founder Claimed He had Cured Himself of Cancer and Awarded $2 Million from Vanderbilt for Research (DOJ Release)Man Sentenced to Nearly 3 Years in Federal Prison for Role in Lottery Scam that Defrauded Elderly Victims out of… [read post]
12 Oct 2020, 12:08 pm
This resulted in service outages not only at Robinhood but other brokerages such as Vanguard, Charles Schwab, TD Ameritrade, and Merrill Lynch[7]. [read post]
31 Jul 2020, 4:48 am
Oh Lord, Won't You Buy Me A Mercedes Benz Or Get Me A PPP Loan for A Porsche or Lambo (BrokeAndBroker.com Blog)Walt Bettinger expects 'hundreds' of Charles Schwab Corp. staff tasked with wiring TD Ameritrade merger to soon soar to 'thousands' of Schwab and TD workers / The Charles Schwab Corp. [read post]
20 Jul 2020, 2:04 am
FINRA Borrowing Rule Seems to Say What It Means But It Doesn't Actually Mean What It Says (BrokeAndBroker.com Blog)Not Braking and Breaking (Speech by SEC Commissioner Hester Peirce)E-brokers TD Ameritrade, Interactive Brokers sustained record retail trading volumes in the second quarter (CNBC by Maggie Fitzgerald)After 3-year battle with Credit Suisse, advisors may finally receive $6.7M award (Financial Planning by Andrew Welsch)CFTC Announces Whistleblower Awards… [read post]
24 Jun 2020, 10:06 am
Retirement plans upended A recent Harris poll commissioned by TD Ameritrade reveals the extent to which the pandemic has impacted retirement savings. [read post]
8 Jun 2020, 3:43 am
DOJ approval for TD Ameritrade buy. [read post]
3 Jun 2020, 12:28 pm
Many of these investors are now suing UBS and TD Ameritrade for investment fraud, alleging that they were not adequately informed of the risks involved with UBS’s ETRACS ETNs. [read post]
21 May 2020, 7:12 am
Murray, Robert SW Financial Joseph Stone Capital LLC Oplinger, Todd IFS Securities Ridgeway & Conger, Inc Rangel, Jesse TD Ameritrade, Inc Morgan Stanley Stokes, Dain LPL Financial LLC Edward Jones Thrush, Steven Summit Brokerage Services, Inc Cambridge Investment Research, Inc Washington, Robert FINRA makes this information available, in part, to inform investors… [read post]
1 May 2020, 6:22 am
. __(2020))Customer Sues TD Ameritrade For Failure to Investigate Fraudulent Debit Card Transactions (BrokeAndBroker.com Blog)Saltville Man Who Lied About His Own Death Pleads Guilty To Series of Federal Charges Including Bankruptcy Fraud, Wire Fraud,... [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]
10 Apr 2020, 4:20 am
., (in its own right and as parent of wholly owned subsidiary Uber Eats), Defendants (Class Action Complaint)Texas Court of Appeals Reverses $3 Million TD Ameritrade Customer Victory (BrokeAndBroker.com Blog)Statement of Chairman Heath P. [read post]
29 Jan 2020, 12:15 pm
Many firms, such as TD Ameritrade, Charles Schwab and Fidelity, whose business model includes or is tailored primarily to investors who want the benefits of a self-directed account also offer to introduce investors who wish independent investment advice to professional investment advisors who are technically “unaffiliated” with the firm. [read post]
10 Jan 2020, 11:00 pm
Research from TD Ameritrade shows that people would rather discuss sex, politics (and about everything else), before money and financial issues. [read post]
3 Jan 2020, 4:27 am
In the Matter of TD Ameritrade, Inc., Respondent (FINRA AWC)FINRA Fines and Suspends Rep Over Allowing Unregistered Rep to Use His Code and In Mis-use of Currency Transactions Reports ("CTRs"). [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]
31 Dec 2019, 8:53 am
TD Ameritrade Holding Corp., 773 F.3d 488 (3d Cir. 2014)). [read post]
6 Dec 2019, 10:40 am
In fact, first Schwab did it, then TD Ameritrade, and now everyone’s following suit. [read post]
28 Nov 2019, 4:44 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4940/securities-industry-commentator/Russian National Charged with Decade-Long Series of Hacking and Bank Fraud Offenses Resulting in Tens of Millions in Losses and Second Russian National Charged with Involvement in Deployment of “Bugat” Malware / Reward of up to $5 Million Offered for Information Leading to Arrest or Conviction (DOJ… [read post]
26 Nov 2019, 7:44 am
According to FINRA Disciplinary actions for November 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ajayi, Emmanuel JP Morgan Securites LLC HSBC Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Bennett,… [read post]
