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28 Mar 2023, 8:11 am
The post TD Bank Settles Lawsuit Over Stanford Financial Group Ponzi For $1.2B appeared first on Securities Arbitration Lawyers Blog. [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]
21 Sep 2022, 12:37 pm
SEC says Oppenheimer, BNY Mellon Capital Markets, TD Securities (USA) and Jefferies LLC Failed to Comply with Municipal bond Offering Disclosure Requirements. [read post]
12 Apr 2011, 2:00 pm
Please click here to RSVP and secure your seat. [read post]
6 Jun 2009, 5:26 am
Any landlord whose deposit is with mytenancydeposits.co.uk has not complied with the requirements of the scheme and may face the 3x penalty. mytenancydeposits.co.uk is run by a company called MTD Secure Limited. [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]
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]
8 Jan 2016, 4:26 am
In Kentucky, workers can collect TD for the duration of disability or until they qualify for Social Security. [read post]
22 Nov 2009, 5:34 am
” The portions of the judgment underlined above would clearly indicate that the controversy before the Karnataka High Court was not a settled one – if anything, arguably, the issue was settled in favour of the assessee insofar as chargeability being a precondition for application of TDS provisions. [read post]
17 Jul 2011, 2:20 pm
Draft Taxation Determination TD 2011/D8 has been released for comment. [read post]
10 Jan 2024, 3:40 pm
The complaint called out BMO, Scotiabank, CIBC, TD and RBC for providing possibly misleading environmental, social and governance (ESG) disclosures. [read post]
14 Oct 2014, 4:18 am
A now “former” regional vice president of TD Bank, Mr. [read post]
5 Oct 2009, 5:04 pm
The brokerage firms who have agreed to participate in the pilot program are: Ameriprise Financial Services Charles Schwab Chase Investment Services Citigroup Global Markets Edward Jones Fidelity Brokerage Services LPL Financial Merrill Lynch Morgan Stanley Smith Barney Oppenheimer Raymond James TD Ameritrade UBS Financial Services Wells Fargo Advisors / Wachovia Securities Each of the above firms has committed to participate in a limited number of cases under the program… [read post]
29 Jun 2009, 4:00 am
The Report of Foreign Bank and Financial Account is IRS TD F 90-22.1 (.pdf). [read post]
29 Oct 2009, 3:22 pm
After all, FINRA is the former "National Association of Securities Dealers," not the National Association of Securities Investors. [read post]
1 Nov 2013, 8:37 am
Groth (Negligence; "The defendant TD Banknorth, N.A. [read post]
16 Oct 2012, 9:30 pm
If a firm exceeds the limit, its trading will be automatically suspended. [read post]
13 Sep 2016, 12:08 pm
Ariola also helped a fourth customer make similar investments in a retirement account he controlled at TD Ameritrade. [read post]
24 Apr 2017, 12:44 pm
Privacy Shield also includes safeguards and limitations, addressed by other parts of the U.S. government, about national security and law enforcement data access.How to join Privacy Shield: ( https://www.privacyshield.gov/article? [read post]
2 Jul 2019, 12:53 pm
TD Bank N.A. v. [read post]
