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TD Ameritrade

Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery

Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery 150 150 Rex Securities Law

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…

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TD Ameritrade Broker Suspended/Fined for Falsifying Customer SIgnatures

TD Ameritrade Broker Suspended/Fined for Falsifying Customer SIgnatures 150 150 Rex Securities Law

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…

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