TD Ameritrade Clearing Hit With $500K Fine
By Melanie WaddellConfirmations sent to nearly 10 million clients did not disclose that the ETNs and preferred securities in question were in fact callable, FINRA said.
March 22, 2023
12 Actions TD Ameritrade Advisors Should Take During Schwab TransitionThese moves will help advisors at each firm optimize their businesses, according to F2 Strategy.
March 03, 2023
Antitrust Suit Challenging Schwab-TD Ameritrade Deal Can Proceed, Judge RulesA judge struck down Schwab's motion to dismiss the investors' class-action suit.
November 04, 2022
Schwab to Start Next Phase of TD Ameritrade Conversion in JanuaryJanuary 2023 is when custodial agreements with advisors' firms will be executed, Schwab says.
October 28, 2022
Schwab Sets Date for TD Ameritrade Platform ConversionSchwab's Tom Bradley also said most TD Ameritrade advisors will be able to keep their service team.
September 27, 2022
LPL Picks Up Veteran Exec From AltruistPete Dorsey has joined LPL as executive vice president of Institution Services, replacing Shawn Mihal.
September 22, 2022
SEC Set to Let Wall Street Keep Payment-for-Order-Flow DealsThough the news is a win for brokerages like Schwab and Robinhood, the firms may still face tough new regulations.
September 13, 2022
TD Ameritrade, BofA Among 4 Firms Sued Over Biometric Voice PrintsFour separate complaints allege the firms violated the California Invasion of Privacy Act.