Soreide Law Group is investigating possible investor claims against Jordan Palmer John (CRD: 6924720, Omaha, Nebraska). Notably, FINRA sanctioned the securities broker, who worked for TD Ameritrade Inc. Allegedly, John failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of FINRA’s allegations against […]

Client Of TD Ameritrade Takes Issue With Securities Broker Kwasi Aggor's Sales Practices Soreide Law Group provides you with an update regarding securities broker Kwasi Mensah Aggor (CRD#: 4974222, Providence, Rhode Island). Evidently, the securities broker worked for firms AXA Advisors (2005 to 2007) and TD Ameritrade (2008 to 2018). Notably, FINRA barred Aggor as […]

The following appeared on FINRA's website in 'Disciplinary Actions, October, 2011.' TD Ameritrade, Inc. (CRD #7870, Bellevue, Nebraska)  submitted a Letter of AcceptanceWaiver and Consent in which the firm was censured and fined $100,000 by FINRA. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings […]

 Josh Funk, a business writer for the AP wrote that  TD Ameritrade has agreed to a $10 million settlement for failing to properly supervise representatives who misled investors about the safety of a money-market mutual fund that "broke the buck" in 2008, the Securities and Exchange Commission said. Funk writes that TD Ameritrade Holding Corp. customers who still hold […]