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Scottrade, which is headquartered in St. Louis, agreed to settle the charges by paying a $2.5 million penalty and admitting it violated the recordkeeping provisions of the federal securities laws. According to the SEC’s order instituting settled administrative proceedings, broker-dealers like Scottrade are required upon request to electronically provide the SEC with blue sheet data so the agency can use it to identify and analyze trades in the course of investigations and other work. Blue sheets contain the details of each equity or options t ...
SEC Charges Scottrade for Misrepresentations to Customers ; Washington, D.C., June 24, 2008 — The Securities and Exchange Commission today charged St. Louis-based broker-dealer Scottrade, Inc., for fraudulent misrepresentations it made to customers relating to the firm's execution of their Nasdaq pre-open orders, which are placed after the day's market close to be executed at the next market opening. Without admitting or denying the Commission's findings, Scottrade agreed to pay a $950,000 pen...
Key Differences ; ETRADE, established in 1982, revolutionized online trading, providing a platform for individual investors. It offers a range of financial services, including stock trading, options, and banking. Known for user-friendly interfaces and tools, ETRADE became synonymous with accessible online investing. In 2020, Morgan Stanley completed its acquisition of E*TRADE, integrating its services into the larger financial institution. 8 ; Scottrade, founded in 1980, was a prominent discount...
existing Scottrade account numbers as the user IDs with their old Scottrade passwords.... complex options, futures, and foreign exchange More investment advice and guidance, including...
firm Scottrade Inc., which just disclosed a breach involving... Louis-based Scottrade said it recently heard from federal law... from Scottrade and other financial services companies....
or account information to anyone contacting you. Please know that Scottrade will never send you any unsolicited... monitoring options available, also at no cost to you. You can call...
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September 18, 2017 04:28 PM Eastern Daylight Time ; OMAHA, Neb.--(BUSINESS WIRE)--TD Ameritrade Holding Corporation (Nasdaq: AMTD) announced today that it has completed its acquisition of Scottrade Financial Services, Inc. For TD Ameritrade, the transaction adds significant scale and distribution capabilities for its investing services and education. The combination of its award-winning trading technology and long-term investing solutions with Scottrade’s larger branch network is expected to enhance the investing experience for millions of in ...
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