Archive

Tag Archives: Rice Jacobs

TD Ameritrade Broker Barred for Theft of Customer Funds

September 30, 2015 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments

Rice Alexander Jacobs, a registered representative with TD Ameritrade, Inc., was permanently barred by Financial Industry Regulatory Authority (FINRA) for failing to provide information and documentation in connection with an investigation into allegations that Jacobs converted a local organization’s funds. Letter of Acceptance, Waiver, and Consent No. 20150439952 (Mar. 11, 2015). According to the AWC, […]

Disclaimer

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer. Questions or comments regarding the source or accuracy of information, including any subsequent developments, should be directed to: [email protected].

Archive

TD Ameritrade Broker Barred for Theft of Customer Funds

For a Free Evaluation of Your Claim

All Inquires Are Confidential.

See Important Disclaimer

Categories