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6 Jul 2012, 9:17 am
Inc., Ontario Teachers' Pension Plan, Scotia Capital Inc., TD Securities Inc. and The Manufacturers Life Insurance Company) announced on May 15, 2011, in the midst of the failed bid by the TSX to merge with the LSE, that the Group had submitted a proposal to acquire the TMX Group. [read post]
7 Mar 2012, 4:11 am
The Staff declined to grant no-action relief to companies that argued that the proof of ownership was not from a DTC participant when the brokers' letters were from TD Ameritrade, Inc. instead of TD Ameritrade Clearing, the entity named on the DTC participant list. [read post]
9 Feb 2012, 3:23 pm
Companies that they involved in their Texas securities scam included Sterling Software Inc., Scottish Annuity & Life Holdings Ltd., Michaels Stores Inc., and Sterling Commerce Inc. [read post]
8 Feb 2012, 4:00 am
The Respondent in Telephone and Data Systems, Inc. v. [read post]
6 Feb 2012, 10:56 am
Before his employment with First Allied Securities, his CRD states that he registered with two other member firms, TD Waterhouse Investor Services, Inc. and Jack White & Company, Inc. [read post]
3 Feb 2012, 1:53 pm
CEO of Dallas-based AmeriFirst found guilty of securities fraud for swindling $50 million from retirees, The Dallas Morning News, December 22, 2011 Defendant Deceived Investors About Supposed Fraud Scheme That Involved More Than 500 Victims and More Than $50 Million, Justice.gov, December 21, 2011 More Blog Posts: Texas Securities Fraud: BNY Mellon Capital Markets LLC Settles Allegations of Rigged Bond Bidding for $1.3M, Stockbroker Fraud Blog, January 24, 2012 TD Bank… [read post]
24 Jan 2012, 4:10 pm
BNY Mellon Settles with Texas Over Probe Into Rigged Bond Biddinghttp://www.ssb.state.tx.us/News/Press_Release/12-22-11_press.php, December 22, 2011 Texas State Securities Board Texas Securities Fraud: SEC Moves to Freeze Assets of Stewardship Fund LP, Stockbroker Fraud Blog, November 5, 2011 More Blog Posts: TD Bank Ordered to Pay Texas-Based Coquina Investments $67M Over $1.2 Billion Ponzi Scheme, Stockbroker Fraud Blog, January 19, 2012 Texas Securities… [read post]
9 Jan 2012, 9:26 am
At issue is whether the officers violated his right to be secure against unreasonable search and seizure under the Charter of Rights and Freedoms by conducting a sniff search of his vehicle.Jan. 9 — Alberta — Kaitlyn Ruth Smith v. [read post]
7 Jan 2012, 3:13 pm
Scottrade Inc. and Vanguard Brokerage Services tied for second. [read post]
1 Sep 2011, 10:11 am
According to the indictment, defendant Osbourne used his position as a customer service representative at AmeriHealth Administrators, Inc. to access customers' personal identity information, including names, dates of birth, Social Security numbers, and bank account numbers, and passed this information along to defendant Hylton. [read post]
1 Sep 2011, 10:11 am
According to the indictment, defendant Osbourne used his position as a customer service representative at AmeriHealth Administrators, Inc. to access customers' personal identity information, including names, dates of birth, Social Security numbers, and bank account numbers, and passed this information along to defendant Hylton. [read post]
22 Jun 2011, 7:49 am
Image source: Apple Inc. [read post]
20 Jun 2011, 5:58 pm
Morgan Stanley Smith Barney, Justia, June 14, 2011 More Blog Posts: MBIA Can Sue Morgan Stanley Over Alleged Misrepresentation of MBS Risks, Says US New York Supreme Court, Institutional Investor Securities Blog, June 14, 2011 Morgan Stanley & Co. and TD Ameritrade Inc. to Repurchase Over $338M in Auction Rate Securities from New Jersey Investors, Institutional Investor Securities Blog, May 4, 2011 Ex-Morgan Stanley Trader to Settle SEC… [read post]
4 May 2011, 7:40 pm
(MS) and TD Ameritrade Inc. [read post]
TD Ameritrade Inc. Settles SEC Securities Fraud Charges Over Reserve Yield Plus Fund Shares for $10M
17 Feb 2011, 8:17 am
4 Feb 2011, 2:36 pm
If you suffered significant losses investing the Reserve Yield Plus Fund through TD Ameritrade, your losses may be recoverable through securities arbitration. [read post]
3 Feb 2011, 1:01 pm
The SEC charged TD Ameritrade Inc. for failing to reasonably supervise its registered representatives, some of whom misled customers when selling shares of the Reserve Yield Plus Fund, a mutual fund that "broke the buck" in September 2008. [read post]
28 Jan 2011, 8:57 am
The loan came from payday lender Advance America, Cash Advance Centers Inc., which last month opened its fourth office in West Palm Beach and wants to expand even more across the U.S. [read post]
26 Aug 2010, 4:48 pm
©2010 Amaxx Risk Solutions, Inc. [read post]
24 Aug 2010, 4:27 pm
©2010 Amaxx Risk Solutions, Inc. [read post]
