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TD Ameritrade complaint

TD Ameritrade Fined $300,000 by Texas Securities Regulators

TD Ameritrade Fined $300,000 by Texas Securities Regulators 150 150 Rex Securities Law

July 28, 2015 TD Ameritrade agreed to pay $300,000 to the state of Texas for failing to enforce internal rules requiring customers to be notified when money is withdrawn from…

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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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