September 21, 2011

TD AMERITRADE: Unit Continues to Defend Administrative Order

COMPANIES: TD Ameritrade Holding Corp
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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…

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LOCATIONS: Pennsylvania | United States