July 6, 2011

TD AMERITRADE: Unit Faces Administrative Order on Securities Sale

COMPANIES: TD Ameritrade Holding Corp
Subscribe

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…

TO CONTINUE READING,LOGIN or
TOPICS: Earnings | Financial Services | Legal Issues, Litigation | Loans & Financing | SEC-Qtrly, Annual Reports | Securities & Exch Comm, US
LOCATIONS: