Category Archives: TD Ameritrade

Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery

March 30, 2015, Grapevine, Texas 

Sam Marshall Stull  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he forged the signatures of customers on firm documents including beneficiary information sheets, investment switch letters and account profile confirmations.

The findings also state that Stull failed to provide documents and information related to an investigation of the forgery.

Stull   was permanently  barred from association with any FINRA member.

FINRA Case # 2014042589601

According to FINRA records, Stull was registered as follows:

  • TD Ameritrade                     9/2014-10/2014
  • J.P. Morgan Securities       8/2013-8/2014
  • TD Ameritrade                      9/2010-7/2013
  • Fidelity Brokerage               11/2007-8/2010

If you suffered losses in an account handled by Stull you may be able to recover damages from his employing firm. Call to discuss your legal options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

TD Ameritrade Broker Suspended/Fined for Falsifying Customer SIgnatures

In a recent FINRA disciplinary action, Grisel Saez, a broker with TD Ameritrade in Honolulu, Hawaii, was suspended for three months and fined $5,000 for falsifying customer signatures on account opening documents. Saez was terminated by TD Ameritrade and is not currently employed in the securities industry.

If you suspect that documents have been falsified in your brokerage account, call to discuss your legal options with an experienced securities attorney.

Rex Securities Law provides nationwide representation to investors seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.  Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Rex Securities Law

561 391 1900