The Pennsylvania Securities Commission has filed an administrative order against TD Ameritrade Holding Corporation’s primary introducing broker-dealer, TD Ameritrade, Inc., involving the sale of Yield Plus Fund securities to 21 Pennsylvania clients. An administrative hearing will be held to determine…
TD Ameritrade Holding Corporation has settled matters with the U.S. Securities and Exchange Commission in connection to Reserve Yield Plus Fund, paying clients approximately US$10 million in February 2011 under the settlement agreement.
During September 2008, The Reserve, an independent mutual…
TD Ameritrade Holding Corporation disclosed that the Pennsylvania Securities Commission has filed an administrative order against TD Ameritrade, Inc. involving the sale of Yield Plus Fund securities to 21 Pennsylvania clients.
An administrative hearing will be held to determine whether there…
TD AMERITRADE Holding Corp. disclosed in its latest quarterly report on Form 10-Q filed with the U.S. Securities and Exchange Commission that the SEC and other regulatory authorities’ investigations on the sale of Auction Rate Securities (ARS) are still ongoing.
TD…
TD AMERITRADE Holding Corp. disclosed in its latest quarterly report on Form 10-Q filed with the U.S. Securities and Exchange Commission that the SEC and other regulatory authorities are still continuing their investigations on subsidiary TD AMERITRADE, Inc.’s (TDA Inc.)…
TD AMERITRADE Holding Corporation says the Securities and Exchange Commission and other regulatory authorities’ investigations on subsidiary TD AMERITRADE, Inc.’s (TDA Inc.) offering The Reserve fund to clients are ongoing.
During September 2008, The Reserve, an independent mutual fund company, announced…
TD AMERITRADE Holding Corporation says that the Securities and Exchange Commission and other regulatory authorities’ investigations on the sale of Auction Rate Securities (ARS) are ongoing.
Company subsidiary TD AMERITRADE, Inc. (TDA Inc.) has received subpoenas and other requests for documents…