Search for: "TD Ameritrade"
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19 Dec 2022, 3:25 am
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out (BrokeAndBroker.com Blog)FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of Auto… [read post]
6 Sep 2019, 7:08 am
And a Customer Sues TD Ameritrade(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4799/banco-santander-CUSIP/Messy fact patterns tend to make for head... [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]
4 Jun 2021, 2:04 pm
The TD Ameritrade Stockbroker and The Customer Were Friends Until Options Trading Came Between Them (BrokeAndBroker.com Blog)FINRA Alerts Firms to Phishing Email Using "gateway-finra.org" Domain Name (FINRA Regulatory Notice)SEC Charges Portfolio Manager with Using Forged Document to Offer Securities to Investor (SEC Release)SEC Charges Couple With Insider Trading on Confidential Clinical Trial Data (SEC Release)SEC Charges Florida Real Estate Companies and Executive with… [read post]
13 Aug 2022, 8:55 am
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5 (BrokeAndBroker.com Blog)SEC Charges 18 Defendants in International Scheme to Manipulate Stocks Using Hacked US Brokerage Accounts (SEC Release)SEC Obtains Final Judgment Against Broker Charged with Defrauding Customers (SEC Release)Platinum Partners Portfolio Manager Daniel Small Convicted of Defrauding Bondholders in a Multi-Million Dollar Scheme / Defendant Orchestrated a Rigged Vote Relating to… [read post]
21 Aug 2022, 12:45 pm
TD Ameritrade Clearing Inc., Defendant (Opinion and Order, SDNY)Three Members Of Miami Crew Charged With Defrauding Banks And Cryptocurrency Exchange Of More Than $4 Million (DOJ Release)California Man Charged With Using False Ide... [read post]
23 Oct 2021, 6:32 am
And folks wonder why there's so much litigation on Wall Street.Stipulated Arbitration Award Ends TD Ameritrade Solicitation Dispute (BrokeAndBroker.... [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]
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]
7 Nov 2022, 2:30 am
TD Ameritrade Loses FINRA Customer Arbitrat... [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]
11 May 2012, 12:09 pm
The CWS is set to begin its second season in the new TD Ameritrade Park in downtown Omaha, just north of the Old Market District. [read post]
23 Mar 2016, 7:04 am
TD Ameritrade filed a Motion to Dismiss the claims. [read post]
7 Oct 2011, 5:36 am
Even though the settlement did not provide for a payout to every conceivable accountholder who might have been affected by the breach in some way, the settlement was a reasonable compromise that balanced the possible recovery against the risks inherent in litigating further.The decision is In re TD Ameritrade Account Holder Litigation. [read post]
16 Jul 2019, 9:04 am
Investors who lost money after investing in Aequitas Management LLC, which is accused of running a $350M Ponzi scam, have arrived at a $234M settlement in their fraud case against EisnerAmp LLP, Deloitte & Touche LLP, TD Ameritrade, Duff & Phelps, Sidley Austin LLP, Integrity Bank and Trust of Colorado, and Tonkon Torp. [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]
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]
2 Nov 2013, 10:02 am
., pleaded guilty on October 29, 2013 in Columbia County Court to the charge of Grand Larceny in the third degree, a class D felony.DiNapoli Reaches Agreement with TD Ameritrade to Expand Protections Against DiscriminationTD Ameritrade Holding Corporation, one of America’s largest online brokerage firms, has agreed to amend its equal employment opportunity policy to explicitly prohibit discrimination based on sexual orientation or gender identity nationwide, New York… [read post]
30 Sep 2022, 6:47 am
His former employers include TD Ameritrade, Inc. [read post]
18 Feb 2009, 1:39 am
Dubbed Your Money Bus, TD Ameritrade and Kiplinger's magazine are also co-sponsoring the event.NAPFA volunteers will be distributing basic information about budgeting, taxes, debt management and savings. [read post]
