Tag Archives: FINRA arbitration

Disabled Couple File Arbitration Claim Against TD Ameritrade

June 07, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Kevin and Natalie Flynn have filed a FINRA arbitration claim against TD Ameritrade alleging that the firm violated FINRA’s “know your customer” rule, recommended unsuitable investments and failed to supervise its registered persons. The claim alleges $500,000 in losses. Kevin Flynn is a 60-year-old former salesman who suffered spinal damage relating to a car accident […]

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