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...
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 ...
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....
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 242 [Release No. 34-67457; File No. S7-11-10] RIN 3235-AK51 Consolidated Audit Trail AGENCY: Securities and Exchange Commission ACTION: Final...
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of Scottrade. [10][11][12][13] In April 2018, TD Ameritrade... 2017 Scottrade [10][11][12][13] Legal actions [edit] Security... "TD Ameritrade closes on acquisition of Scottrade" . American...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it fined Scottrade, Inc. $2.6 million for failing to retain a large number of securities-related electronic records in the required format, and for failing to retain certain categories of outgoing emails. Scottrade also did not have a reasonable supervisory system in place to achieve compliance with certain Securities and Exchange Commission (SEC) and FINRA books and records rules, which contributed to its record-retention failures. ...
in practice consumers often incur unexpected fees that exceed the original transaction... of account holders—those who incur three or more overdraft fees per year—pay more than 90...
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