Search for: "TD Securities, LLC"
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18 Nov 2009, 1:45 pm
Since 2008, state securities regulators have secured deals with banks including Citigroup, Merrill Lynch, Goldman Sachs, Deutsche Bank, Wachovia, JP Morgan, Morgan Stanley, UBS and TD Ameritrade. [read post]
30 Oct 2009, 8:29 am
Michael Alfred Thome of Folsom, California, a former broker with TD Ameritrade, was ordered to pay $402,137.50 plus interest as restitution for the misappropriation of funds from a customer who thought they were investing in a real estate partnership. [read post]
29 Oct 2009, 3:22 pm
" Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
11 Aug 2009, 10:06 am
In that connection, TD Ameritrade announced a settlement with the Securities and Exchange Commission agreeing to repurchase $465 million of auction rate securities from its clients. [read post]
3 Aug 2009, 8:12 am
" Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
20 Jul 2009, 2:44 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
Investors Left Out of the Auction Rate Securities Regulatory Settlements Are Suing to Recover Losses
22 Jun 2009, 9:46 am
The firms include Raymond James Financial Inc., Oppenheimer Holdings Inc., E*Trade Financial Corp., and TD Ameritrade Holding Corp., which were among the biggest distributors of auction rate securities, according to the article. [read post]
1 Jun 2009, 9:10 pm
Meantime, state officials are looking into whether TD Ameritrade Holding Corp., Charles Schwab Corp., and E*Trade Financial Corp also engaged in ARS-related violations. [read post]
15 Mar 2008, 7:00 am
Shame about the IP: (Afro-IP),Ethiopia receives US trade mark for Sidamo coffee despite opposition from Starbucks: (The IP Factor), (Afro-IP),CC licensed test for African sleeping sickness: (creativecommons.org),Update on PCT applications filed in Nigeria: (Afro-IP),Parallel imports of DVDs to be tested in South Africa: Universal City Studios v Mr Video: (Afro-IP),The W****D C*P of 2*1*: FIFA’s intellectual property rights in South Africa: (Afro-IP),Namibia to adopt competition… [read post]
15 Mar 2007, 10:46 am
When nearly $ 2 Million was lost in more than 40 accounts at brokerage firms including Charles Schwab, E*Trade, Fidelity, Merrill Lynch, Scottrade, TD Ameritrade and Vanguard, the Securities and Exchange Commission came quickly to their rescue! [read post]
