Search for: "TD Securities Inc."
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22 Jan 2024, 8:14 am
Felsenfeld entered the securities industry in April 2002, and was registered from then until June 2004 with Mogan Stanley DW Inc. [read post]
9 Aug 2023, 11:25 am
For example: In March 2017, FINRA censured and fined TD Securities (USA) LLC $125,000 after finding that they could not conduct reviews or document its reviews of employee emails for more than 13 months. [read post]
7 Aug 2023, 4:51 am
TD Ameritrade, Inc., et al., Defendants (Opinion United States District Court for the Western District of Michigan) DOJ x SEC x CFTC x ... [read post]
29 Jun 2023, 7:46 pm
FINRA Fines TD Ameritrade $500K for Making Omissions To Millions of Customers The Financial Industry Regulatory Authority (FINRA) announced that it has fined TD Ameritrade Clearing Inc. $500K for its failure to fully disclose information about callable securities (including preferred securities and exchange-traded notes) to millions of customers over a period of five years. [read post]
9 Jun 2023, 12:05 pm
The Financial Industry Regulatory Authority Inc. on Thursday fined TD Ameritrade Clearing Inc. $500,000 for failing to disclose fully information about callable securities, including exchange-traded notes and preferred securities, to millions of customers over five years, according to Finra. [read post]
30 Apr 2023, 4:00 am
TD Insurance Meloche Monnex, 2022 ONCA 446 (40348) Issues re accident benefits following MVA’s. [read post]
20 Apr 2023, 1:20 pm
On February 9, 2023, the Security and Exchange Commission (“SEC”) charged Payward Ventures, Inc. and Payward Trading Ltd. [read post]
7 Nov 2022, 2:30 am
The Gensler SEC's Rulemaking Reach Exceeds Its Grasp (BrokeAndBroker.com Blog)TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation (BrokeAndBroker.com Blog)United States Supreme Court: SECURITIES AND EXCHANGE COMMISSION V. [read post]
7 Nov 2022, 2:30 am
COCHRAN (Oral Argument)United States Supreme Court: AXON ENTERPRISE, INC. [read post]
30 Sep 2022, 5:58 pm
In particular, he paid for the trades with funds in his TD Ameritrade account which were held in the U.S. [read post]
30 Sep 2022, 6:47 am
His former employers include TD Ameritrade, Inc. [read post]
21 Sep 2022, 12:37 pm
Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms with failing to comply with municipal bond offering disclosure requirements. [read post]
14 Sep 2022, 11:59 am
Inc., September 13, 2022).The SEC alleges that in different periods since 2017 the four underwriters sold new issue municipal bonds without obtaining required disclosures for investors. [read post]
13 Sep 2022, 5:35 am
Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms…Read the Full Press ReleaseHave a securities law question? [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]
13 Aug 2022, 8:55 am
Bancorp Investments, Inc, Respondent (FINRA Arbitration Award)... [read post]
29 Jun 2022, 8:03 am
‘If we want to watch the Knicks lose, it’s a lot more fun to see it happen at TD Garden.'” Curious, I had a look to see what other events the MSG ban blocks these lawyers from attending. [read post]
9 May 2022, 1:50 pm
The case is Matter of TD Ameritrade, Inc., DTA No. 829523 (Apr. 28, 2022). [read post]
6 May 2022, 2:02 pm
TD Ameritrade, Inc.... [read post]
22 Feb 2022, 12:09 pm
Ian Ha Infinity Financial Services AXA Advisors, LLC Ikea Huggins Narith Long NYLife Securities LLC Northwestern Mutual Investment Services, LLC Frank Mathis Fidelity Brokerage Services LLC TD Ameritrade, Inc. [read post]
