TD Ameritrade complaint Archives - Rex Securities Law-BLOG

Rex Securities Law
August 10, 2015
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TD Ameritrade Fined $300,000 by Texas Securities Regulators

TD Ameritrade Fined $300,000 by Texas Securities Regulators https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 10, 2015 February 11, 2016

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$300,000 to the state of Texas for failing to enforce internal rules requiring customers to be notified when money is withdrawn from…

Rex Securities Law
June 3, 2015
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Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery

Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 3, 2015 April 7, 2016

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…